Risk Management Framework (RMF)
Policy and Procedures following the Risk Management Framework (RMF) for obtaining system authorizations.
AC-1 — DAAPM Appendix A Control Verbiage
The organization: a. Develops, documents, and disseminates to all authorized responsible personnel as required: 1. An access control policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and 2. Procedures to facilitate the implementation of the access control policy and associated access controls; and b. Reviews and updates the current: 1. Access control policy Annually or as policy and procedures dictate changes are required; and 2. Access control procedures Annually or as policy and procedures dictate changes are required.
AC-1 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
AC-1 — NIST 800-53 Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures. Related control: PM-9.
AC-2 — DAAPM Appendix A Control Verbiage
The organization: a. Identifies and selects the following types of information system accounts to support organizational missions/business functions: as defined by the Authorized System Security Plan; b. Assigns account managers for information system accounts; c. Establishes conditions for group and role membership; d. Specifies authorized users of the information system, group and role membership, and access authorizations (i.e., privileges) and other attributes (as required) for each account; e. Requires approvals by ISSM/ISSO or designee for requests to create information system accounts; f. Creates, enables, modifies, disables, and removes information system accounts in accordance with Authorized System Security Plan; g. Monitors the use of information system accounts; h. Notifies account managers: (1) When accounts are no longer required; (2) When information system users are terminated or transferred; and (3) When individual information system usage or need-to-know changes; i. Authorizes access to the information system based on: (1) A valid access authorization; (2) Intended system usage; and (3) Other attributes as required by the organization or associated missions/business functions; j. Reviews accounts for compliance with account management requirements at least Annually, if not otherwise defined in organizational policy; and k. Establishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.
AC-2 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
AC-2 — NIST 800-53 Supplemental Guidance
Information system account types include, for example, individual, shared, group, system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and service. Some of the account management requirements listed above can be implemented by organizational information systems. The identification of authorized users of the information system and the specification of access privileges reflects the requirements in other security controls in the security plan. Users requiring administrative privileges on information system accounts receive additional scrutiny by appropriate organizational personnel (e.g., system owner, mission/business owner, or chief information security officer) responsible for approving such accounts and privileged access. Organizations may choose to define access privileges or other attributes by account, by type of account, or a combination of both. Other attributes required for authorizing access include, for example, restrictions on time-of-day, day-of-week, and point-of-origin. In defining other account attributes, organizations consider system-related requirements (e.g., scheduled maintenance, system upgrades) and mission/business requirements, (e.g., time zone differences, customer requirements, remote access to support travel requirements). Failure to consider these factors could affect information system availability. Temporary and emergency accounts are accounts intended for short-term use. Organizations establish temporary accounts as a part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts (e.g., local logon accounts used for special tasks defined by organizations or when network resources are unavailable). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include, for example: (i) when shared/group, emergency, or temporary accounts are no longer required; or (ii) when individuals are transferred or terminated. Some types of information system accounts may require specialized training. Related controls: AC-3, AC-4, AC-5, AC-6, AC-10, AC-17, AC-19, AC-20, AU-9, IA-2, IA-4, IA-5, IA-8, CM-5, CM-6, CM-11, MA-3, MA-4, MA-5, PL-4, SC-13.
AC-2(1) — DAAPM Appendix A Control Verbiage
The organization employs automated mechanisms to support the management of information system accounts.
AC-2(1) — DCSA Supplemental Guidance
When automated mechanisms cannot be used, a manual process must be established and documented and will require explicit AO approval. Recommended Continuous Monitoring Frequency: Quarterly
AC-2(1) — NIST 800-53 Supplemental Guidance
The use of automated mechanisms can include, for example: using email or text messaging to automatically notify account managers when users are terminated or transferred; using the information system to monitor account usage; and using telephonic notification to report atypical system account usage.
AC-2(2) — DAAPM Appendix A Control Verbiage
The information system automatically disables temporary and emergency accounts after not more than 72 hours.
AC-2(2) — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Quarterly
AC-2(2) — NIST 800-53 Supplemental Guidance
This control enhancement requires the removal of both temporary and emergency accounts automatically after a predefined period of time has elapsed, rather than at the convenience of the systems administrator.
AC-2(3) — DAAPM Appendix A Control Verbiage
The information system automatically disables inactive accounts after a maximum of 90 days of inactivity.
AC-2(3) — DCSA Supplemental Guidance
All password-accessible accounts must be disabled when information system users are terminated, transferred, or no longer require access to the information resource in the performance of their assigned duties. Recommended Continuous Monitoring Frequency: Quarterly
AC-2(3) — NIST 800-53 Supplemental Guidance
AC-2(4) — DAAPM Appendix A Control Verbiage
The information system automatically audits account creation, modification, enabling, disabling, and removal actions, and notifies IS security personnel as required.
AC-2(4) — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Quarterly
AC-2(5) — DAAPM Appendix A Control Verbiage
The organization requires that users log out when user's work day has ended or there is an extended absence.
AC-2(5) — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Quarterly
AC-2(5) — NIST 800-53 Supplemental Guidance
Related control: SC-23.
AC-2(7) — DAAPM Appendix A Control Verbiage
The organization: (a) Establishes and administers privileged user accounts in accordance with a role-based access scheme that organizes allowed information system access and privileges into roles; (b) Monitors privileged role assignments; and (c) Takes immediate action to disable or revoke privileged user accounts when privileged role assignments are no longer appropriate.
AC-2(7) — DCSA Supplemental Guidance
Privileged roles also include the auditor and Data Transfer Agent (DTA). This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Quarterly
AC-2(7) — NIST 800-53 Supplemental Guidance
Privileged roles are organization-defined roles assigned to individuals that allow those individuals to perform certain security-relevant functions that ordinary users are not authorized to perform. These privileged roles include, for example, key management, account management, network and system administration, database administration, and web administration.
AC-2(9) — DAAPM Appendix A Control Verbiage
The organization only permits the use of shared/group accounts that are operationally essential and when explicitly authorized by the AO.
AC-2(9) — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Quarterly
AC-2(9) — NIST 800-53 Supplemental Guidance
AC-2(10) — DAAPM Appendix A Control Verbiage
The information system terminates shared/group account credentials when members leave the group.
AC-2(10) — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Quarterly
AC-2(10) — NIST 800-53 Supplemental Guidance
AC-2(12) — DAAPM Appendix A Control Verbiage
The organization: (a) Monitors information system accounts for program specific requirements; and (b) Reports atypical usage of information system accounts to the ISSM immediately upon detection.
AC-2(12) — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Quarterly
AC-2(12) — NIST 800-53 Supplemental Guidance
Atypical usage includes, for example, accessing information systems at certain times of the day and from locations that are not consistent with the normal usage patterns of individuals working in organizations. Related control: CA-7.
AC-2(13) — DAAPM Appendix A Control Verbiage
The organization disables accounts of users posing a significant risk immediately or as soon as possible after discovery
AC-2(13) — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Quarterly
AC-2(13) — NIST 800-53 Supplemental Guidance
Users posing a significant risk to organizations include individuals for whom reliable evidence or intelligence indicates either the intention to use authorized access to information systems to cause harm or through whom adversaries will cause harm. Harm includes potential adverse impacts to organizational operations and assets, individuals, other organizations, or the Nation. Close coordination between authorizing officials, information system administrators, and human resource managers is essential in order for timely execution of this control enhancement. Related control: PS-4.
AC-3 — DAAPM Appendix A Control Verbiage
The information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies.
AC-3 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Semi-Annual
AC-3 — NIST 800-53 Supplemental Guidance
Access control policies (e.g., identity-based policies, role-based policies, attribute-based policies) and access enforcement mechanisms (e.g., access control lists, access control matrices, cryptography) control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (e.g., devices, files, records, domains) in information systems. In addition to enforcing authorized access at the information system level and recognizing that information systems can host many applications and services in support of organizational missions and business operations, access enforcement mechanisms can also be employed at the application and service level to provide increased information security. Related controls: AC-2, AC-4, AC-5, AC-6, AC-16, AC-17, AC-18, AC-19, AC-20, AC-21, AC-22, AU-9, CM-5, CM-6, CM-11, MA-3, MA-4, MA-5, PE-3.
AC-3(2) — DAAPM Appendix A Control Verbiage
The information system enforces dual authorization for all transfers of data from a classified computer network to removable media.
AC-3(2) — DCSA Supplemental Guidance
This includes the technical separation of roles (e.g., Data Transfer Agent(DTA), ISSM and/or designated representative). Only ISSM and/or designated representatives are authorized to enable permissions to transfer data to removable media. DTAs are the only individuals authorized to transfer data from a classified system to removable media and only the ISSM and/or designated representatives are authorized to enable permissions to transfer removable media. This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Quarterly
AC-3(2) — NIST 800-53 Supplemental Guidance
Dual authorization mechanisms require the approval of two authorized individuals in order to execute. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety. Dual authorization may also be known as two-person control. Related controls: CP-9, MP-6.
AC-3(4) — DAAPM Appendix A Control Verbiage
The information system enforces discretionary access control policies over defined subjects and objects where the policy specifies that a subject that has been granted access to information can do one or more of the following: (a) Pass the information to any other subjects or objects; (b) Grant its privileges to other subjects; (c) Change security attributes on subjects, objects, the information system, or the information system's components; (d) Choose the security attributes to be associated with newly created or revised objects; or (e) Change the rules governing access control.
AC-3(4) — DCSA Supplemental Guidance
The assumption is that some user data/information in organizational information systems is not shareable with other users who have authorized access to the same systems. The policy shall address at a minimum: a. Allows users to specify and control sharing by named individuals or groups of individuals, or by both[AC-3(4)(a)]; b. Limits propagation of access rights [AC-3(4)(b)]; and c. Includes or excludes access to the granularity of a single user. [AC-3(4)(c)]. Recommended Continuous Monitoring Frequency: Semi-Annual
AC-3(4) — NIST 800-53 Supplemental Guidance
When discretionary access control policies are implemented, subjects are not constrained with regard to what actions they can take with information for which they have already been granted access. Thus, subjects that have been granted access to information are not prevented from passing (i.e., the subjects have the discretion to pass) the information to other subjects or objects. This control enhancement can operate in conjunction with AC-3(3). A subject that is constrained in its operation by policies governed by AC-3(3) is still able to operate under the less rigorous constraints of this control enhancement. Thus, while AC-3(3) imposes constraints preventing a subject from passing information to another subject operating at a different sensitivity level, AC-3(4) permits the subject to pass the information to any subject at the same sensitivity level. The policy is bounded by the information system boundary. Once the information is passed outside of the control of the information system, additional means may be required to ensure that the constraints remain in effect. While the older, more traditional definitions of discretionary access control require identity-based access control, that limitation is not required for this use of discretionary access control.
AC-3(8) — DAAPM Appendix A Control Verbiage
The information system enforces the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on [Assignment: organization-defined rules governing the timing of revocations of access authorizations].
AC-3(8) — DCSA Supplemental Guidance
AC-3(8) — NIST 800-53 Supplemental Guidance
Revocation of access rules may differ based on the types of access revoked. For example, if a subject (i.e., user or process) is removed from a group, access may not be revoked until the next time the object (e.g., file) is opened or until the next time the subject attempts a new access to the object. Revocation based on changes to security labels may take effect immediately. Organizations can provide alternative approaches on how to make revocations immediate if information systems cannot provide such capability and immediate revocation is necessary.
AC-4 — DAAPM Appendix A Control Verbiage
The information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems based on the approved SSP and associated authorization.
AC-4 — DCSA Supplemental Guidance
Specific examples of flow control enforcement can be found in boundary protection devices (e.g., proxies, gateways, guards, encrypted tunnels, firewalls, and routers). These devices employ rule sets or establish configuration settings that restrict IS services, provide a packet-filtering capability based on header information, or provide message-filtering
capabilities based on content (e.g., using key word searches or document characteristics). Within the environment, information flow control is provided by the infrastructure via the implementation of various boundary
protection devices.
Information flow enforcement is addressed through the use of Controlled Interfaces(CI) and Assured File Transfers(AFT).
A Controlled Interface(CI) is a mechanism that facilitates adjudicating the
security policies of different interconnected information systems (e.g., controlling the flow of information into or out of an interconnected
system--often referred to as a guard). Controlling the flow of information into an interconnected system helps preserve the integrity of the system, and the integrity and confidentiality of the information maintained and processed by the system. Controlling the flow of information out of the system helps preserve the confidentiality of the information leaving the system, and may protect the integrity of the receiving system.
CI that control the flow of information out of an IS are often employed to facilitate push technology, where the goal is to push information to an indirect user residing outside of the system perimeter
(equipment responsibility demarcation), but within the system boundary(users).
The adjudication of integrity and confidentiality policies may be handled in a variety of ways. For example, a single CI may perform all of the
confidentiality and integrity adjudication, or one CI may be employed for adjudicating confidentiality policies while another adjudicates integrity policies, or the adjudication of confidentiality and integrity policies may be distributed across a set of CI where each performs some subset of
confidentiality and integrity policy adjudication. A CI is often implemented as a mechanism(or a set of mechanisms) separate from the
systems it is intended to protect. However, a CI can also be constructed so that some of its functionality resides in the systems themselves. The term CI includes CDS, routers, firewalls, etc. The classification of the domains, to include the criteria to release data, is an indicator of what type of CI is required. See AC-4(20).
Recommended Continuous Monitoring Frequency: Semi-Annual
AC-4 — NIST 800-53 Supplemental Guidance
Information flow control regulates where information is allowed to travel within an information system and between information systems(as opposed to who is allowed to access the information) and without explicit regard to subsequent accesses to that information. Flow control restrictions include, for example, keeping export-controlled information from being transmitted in the clear to the Internet, blocking outside traffic that claims to be from within the organization, restricting web requests to the Internet that are not from the internal web proxy server, and limiting information transfers between organizations based on data structures and content. Transferring information between information systems representing different security domains with different security policies introduces risk that such transfers violate one or more domain security policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between interconnected systems. Organizations consider mandating specific architectural solutions when required to enforce specific security policies. Enforcement includes, for example: (i) prohibiting information transfers between interconnected systems (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way information flows; and (iii) implementing trustworthy regrading mechanisms to reassign security attributes and security labels.
Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations (e.g., networks, individuals, and devices) within information systems and between interconnected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices (e.g., gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or establish configuration settings that restrict information system services, provide a packet-filtering capability based on header information, or message-filtering capability based on message content (e.g., implementing key word searches or using document characteristics). Organizations also consider the trustworthiness of filtering/inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 22 primarily address cross-domain solution needs which focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, for example, high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf information technology products. Related controls: AC-3, AC-17, AC-19, AC-21, CM-6, CM-7, SA-8, SC-2, SC-5, SC-7, SC-18.
AC-5 — DAAPM Appendix A Control Verbiage
The organization: a. Separates duty of system administrators from audit administration functions as feasible; b. Documents separation of duties of individuals; and c. Defines information system access authorizations to support separation of duties.
AC-5 — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Annual
AC-5 — NIST 800-53 Supplemental Guidance
Separation of duties addresses the potential for abuse of authorized privileges and helps to reduce the risk of malevolent activity without collusion. Separation of duties includes, for example: (i) dividing mission functions and information system support functions among different individuals and/or roles; (ii) conducting information system support functions with different individuals (e.g., system management, programming, configuration management, quality assurance and testing, and network security); and (iii) ensuring security personnel administering access control functions do not also administer audit functions. Related controls: AC-3, AC-6, PE-3, PE-4, PS-2.
AC-6 — DAAPM Appendix A Control Verbiage
The organization employs the concept of least privilege, allowing only authorized accesses for users(and processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions.
AC-6 — DCSA Supplemental Guidance
Other examples of least privilege include restricting access to audit logs to security auditors, preventing general users from installing software, and/or limiting access to media drives to DTAs. This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Quarterly
AC-6 — NIST 800-53 Supplemental Guidance
Organizations employ least privilege for specific duties and information systems. The principle of least privilege is also applied to information system processes, ensuring that the processes operate at privilege levels no higher than necessary to accomplish required organizational missions/business functions. Organizations consider the creation of additional processes, roles, and information system accounts as necessary, to achieve least privilege. Organizations also apply least privilege to the development, implementation, and operation of organizational information systems. Related controls: AC-2, AC-3, AC-5, CM-6, CM-7, PL-2.
AC-6(1) — DAAPM Appendix A Control Verbiage
The organization explicitly authorizes access to security functions (deployed in hardware, software, and firmware) and security-relevant information to a limited set of authorized personnel.
AC-6(1) — DCSA Supplemental Guidance
All classified information systems must technically enforce restrictions on the ability to write to removable media. By default, all write functionality must be disabled. Whenever access to writable removable media is necessary, the write functionality may be enabled, but this must be logged. After the write functions are completed, the write functionality must again be disabled and logged. Ensure media access is audited as indicated in AU-2,bullet a. This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Semi-Annual
AC-6(1) — NIST 800-53 Supplemental Guidance
Security functions include, for example, establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters. Security-relevant information includes, for example, filtering rules for routers/firewalls, cryptographic key management information, configuration parameters for security services, and access control lists. Explicitly authorized personnel include, for example, security administrators, system and network administrators, system security officers, system maintenance personnel, system programmers, and other privileged users. Related controls: AC-17, AC-18, AC-19.
AC-6(2) — DAAPM Appendix A Control Verbiage
The organization requires that users of information system accounts, or roles, with access to privileged functions, use non-privileged accounts or roles, when accessing nonsecurity functions.
AC-6(2) — DCSA Supplemental Guidance
When not performing privileged functions, a separate general user account will be used. By requiring users with elevated privileges to use separate accounts, auditing of privileged user actions will be more accurate. Organizations should also establish a separate privileged account specific to DTA activities. This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Semi-Annual
AC-6(2) — NIST 800-53 Supplemental Guidance
This control enhancement limits exposure when operating from within privileged accounts or roles. The inclusion of roles addresses situations where organizations implement access control policies such as role-based access control and where a change of role provides the same degree of assurance in the change of access authorizations for both the user and all processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account. Related control: PL-4.
AC-6(5) — DAAPM Appendix A Control Verbiage
The organization restricts privileged accounts on the information system to absolute minimum number of privileged users needed to manage the system. In addition, super-user/root privileges shall be limited to the maximum extent possible.
AC-6(5) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Semi-Annual
AC-6(5) — NIST 800-53 Supplemental Guidance
Privileged accounts, including super user accounts, are typically described as system administrator for various types of commercial off-the-shelf operating systems. Restricting privileged accounts to specific personnel or roles prevents day-to-day users from having access to privileged information/functions. Organizations may differentiate in the application of this control enhancement between allowed privileges for local accounts and for domain accounts provided organizations retain the ability to control information system configurations for key security parameters and as otherwise necessary to sufficiently mitigate risk. Related control: CM-6.
AC-6(7) — DAAPM Appendix A Control Verbiage
The organization: (a) Reviews at least Annually the privileges assigned to privileged user accounts including DTA role to validate the need for such privileges; and (b) Reassigns or removes privileges, if necessary, to correctly reflect organizational mission/business needs.
AC-6(7) — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Annual
AC-6(7) — NIST 800-53 Supplemental Guidance
The need for certain assigned user privileges may change over time reflecting changes in organizational missions/business function, environments of operation, technologies, or threat. Periodic review of assigned user privileges is necessary to determine if the rationale for assigning such privileges remains valid. If the need cannot be revalidated, organizations take appropriate corrective actions. Related control: CA-7.
AC-6(8) — DAAPM Appendix A Control Verbiage
The information system prevents software applications/programs from executing at higher privilege levels than users executing the software.
AC-6(8) — DCSA Supplemental Guidance
Organizations shall maintain inventory of software in use and mechanism used to enforce and ensure this control. This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Semi-Annual
AC-6(8) — NIST 800-53 Supplemental Guidance
In certain situations, software applications/programs need to execute with elevated privileges to perform required functions. However, if the privileges required for execution are at a higher level than the privileges assigned to organizational users invoking such applications/programs, those users are indirectly provided with greater privileges than assigned by organizations.
AC-6(9) — DAAPM Appendix A Control Verbiage
The information system audits the execution of privileged functions.
AC-6(9) — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Weekly
AC-6(9) — NIST 800-53 Supplemental Guidance
Misuse of privileged functions, either intentionally or unintentionally by authorized users, or by unauthorized external entities that have compromised information system accounts, is a serious and ongoing concern and can have significant adverse impacts on organizations. Auditing the use of privileged functions is one way to detect such misuse, and in doing so, help mitigate the risk from insider threats and the advanced persistent threat(APT). Related control: AU-2.
AC-6(10) — DAAPM Appendix A Control Verbiage
The information system prevents non-privileged users from executing privileged functions to include disabling, circumventing, or altering implemented security safeguards/countermeasures.
AC-6(10) — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Semi-Annual
AC-6(10) — NIST 800-53 Supplemental Guidance
Privileged functions include, for example, establishing information system accounts, performing system integrity checks, or administering cryptographic key management activities. Non-privileged users are individuals that do not possess appropriate authorizations. Circumventing intrusion detection and prevention mechanisms or malicious code protection mechanisms are examples of privileged functions that require protection from non-privileged users.
AC-7 — DAAPM Appendix A Control Verbiage
The information system: a. Enforces a limit of maximum of three consecutive invalid logon attempts by a user during a fifteen(15) minute time period; and b. Automatically locks the account/node until released by an administrator when the maximum number of unsuccessful attempts is exceeded.
AC-7 — DCSA Supplemental Guidance
The system locks for a minimum of 15 minutes when the maximum unsuccessful logon attempts is reached, but system administrator unlock is not required for a SINGLE user standalone system. Recommended Continuous Monitoring Frequency: Annual
AC-7 — NIST 800-53 Supplemental Guidance
This control applies regardless of whether the logon occurs via a local or network connection. Due to the potential for denial of service, automatic lockouts initiated by information systems are usually temporary and automatically release after a predetermined time period established by organizations. If a delay algorithm is selected, organizations may choose to employ different algorithms for different information system components based on the capabilities of those components. Responses to unsuccessful logon attempts may be implemented at both the operating system and the application levels. Related controls: AC-2, AC-9, AC-14, IA-5.
AC-8 — DAAPM Appendix A Control Verbiage
The information system: a. Displays to users the Notice and Consent Banner before granting access to the system that provides privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance and states that: 1. Users are accessing a U.S. Government information system; 2. Information system usage may be monitored, recorded, and subject to audit; 3. Unauthorized use of the information system is prohibited and subject to criminal and civil penalties; and 4. Use of the information system indicates consent to monitoring and recording; b. Retains the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the information system; and c. For publicly accessible systems: 1. Displays system use information and prevents further activity on the information system unless and until the user takes positive action to acknowledge agreement by clicking on a box indicating OK before granting further access; 2. Displays references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and 3. Includes a description of the authorized uses of the system.
AC-8 — DCSA Supplemental Guidance
The most current required text for the banner and user agreements is listed within the DAAPM. Recommended Continuous Monitoring Frequency: Annual
AC-8 — NIST 800-53 Supplemental Guidance
System use notifications can be implemented using messages or warning banners displayed before individuals log in to information systems. System use notifications are used only for access via logon interfaces with human users and are not required when such human interfaces do not exist. Organizations consider system use notification messages/banners displayed in multiple languages based on specific organizational needs and the demographics of information system users. Organizations also consult with the Office of the General Counsel for legal review and approval of warning banner content.
AC-10 — DAAPM Appendix A Control Verbiage
The information system limits the number of concurrent sessions for each in accordance with the authorized System Security Plan (SSP). The concurrent sessions can be defined globally, by account type (e.g., privileged user), account or combination. This control may require third party software or development of a script.
AC-10 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
AC-10 — NIST 800-53 Supplemental Guidance
Organizations may define the maximum number of concurrent sessions for information system accounts globally, by account type (e.g., privileged user, non-privileged user, domain, specific application), by account, or a combination. For example, organizations may limit the number of concurrent sessions for system administrators or individuals working in particularly sensitive domains or mission-critical applications. This control addresses concurrent sessions for information system accounts and does not address concurrent sessions by single users via multiple system accounts.
AC-11 — DAAPM Appendix A Control Verbiage
The information system: a. Prevents further access to the system by initiating a session lock after not to exceed fifteen (15) minutes of inactivity or upon receiving a request from a user; and b. Retains the session lock until the user reestablishes access using established identification and authentication procedures.
AC-11 — DCSA Supplemental Guidance
Operational considerations may require exceptions to this requirement (e.g., operational testing of weapons systems or watch standing environments). This control also addresses unattended processing, which must be identified in the SSP specifying the functions and/or mission related tasks that must run as unattended processing. Unattended processing is defined as automated processes executed/running on a user's behalf while no users are physically present in the area/facility. Automated processes may include IT administrative functions and mission-related tasks. Unattended processing is approved by the AO and based on system, mission justification, and environment. This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Annual
AC-11 — NIST 800-53 Supplemental Guidance
Session locks are temporary actions taken when users stop work and move away from the immediate vicinity of information systems but do not want to log out because of the temporary nature of their absences. Session locks are implemented where session activities can be determined. This is typically at the operating system level, but can also be at the application level. Session locks are not an acceptable substitute for logging out of information systems, for example, if organizations require users to log out at the end of workdays. Related control: AC-7.
AC-11(1) — DAAPM Appendix A Control Verbiage
The information system conceals, via the session lock, information previously visible on the display with a publicly viewable image.
AC-11(1) — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Annual
AC-11(1) — NIST 800-53 Supplemental Guidance
Publicly viewable images can include static or dynamic images, for example, patterns used with screen savers, photographic images, solid colors, clock, battery life indicator, or a blank screen, with the additional caveat that none of the images convey sensitive information.
AC-12 — DAAPM Appendix A Control Verbiage
The information system automatically terminates a user session when the user logs out of the IS or removes the token.
AC-12 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
AC-12 — NIST 800-53 Supplemental Guidance
This control addresses the termination of user-initiated logical sessions in contrast to SC-10 which addresses the termination of network connections that are associated with communications sessions (i.e., network disconnect). A logical session (for local, network, and remote access) is initiated whenever a user (or process acting on behalf of a user) accesses an organizational information system. Such user sessions can be terminated (and thus terminate user access) without terminating network sessions. Session termination terminates all processes associated with a user's logical session except those processes that are specifically created by the user (i.e., session owner) to continue after the session is terminated. Conditions or trigger events requiring automatic session termination can include, for example, organization-defined periods of user inactivity, targeted responses to certain types of incidents, time-of-day restrictions on information system use. Related controls: SC-10, SC-23.
AC-12(1) — DAAPM Appendix A Control Verbiage
The information system: (a) Provides a logout capability for user-initiated communications sessions whenever authentication is used to gain access to all information resources; and (b) Displays an explicit logout message to users indicating the reliable termination of authenticated communications sessions.
AC-12(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
AC-12(1) — NIST 800-53 Supplemental Guidance
Information resources to which users gain access via authentication include, for example, local workstations, databases, and password-protected websites/web-based services. Logout messages for web page access, for example, can be displayed after authenticated sessions have been terminated. However, for some types of interactive sessions including, for example, file transfer protocol (FTP) sessions, information systems typically send logout messages as final messages prior to terminating sessions.
AC-14 — DAAPM Appendix A Control Verbiage
The organization: a. Identifies no user actions that can be performed on the information system without identification or authentication consistent with organizational missions/business functions; and b. Documents and provides supporting rationale in the security plan for the information system, user actions not requiring identification or authentication.
AC-14 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
AC-14 — NIST 800-53 Supplemental Guidance
This control addresses situations in which organizations determine that no identification or authentication is required in organizational information systems. Organizations may allow a limited number of user actions without identification or authentication including, for example, when individuals access public websites or other publicly accessible federal information systems, when individuals use mobile phones to receive calls, or when facsimiles are received. Organizations also identify actions that normally require identification or authentication but may under certain circumstances (e.g., emergencies), allow identification or authentication mechanisms to be bypassed. Such bypasses may occur, for example, via a software-readable physical switch that commands bypass of the logon functionality and is protected from accidental or unmonitored use. This control does not apply to situations where identification and authentication have already occurred and are not repeated, but rather to situations where identification and authentication have not yet occurred. Organizations may decide that there are no user actions that can be performed on organizational information systems without identification and authentication and thus, the values for assignment statements can be none. Related controls: CP-2, IA-2.
AC-16 — DAAPM Appendix A Control Verbiage
The organization: a. Provides the means to associate classification level, special accesses, dissemination control, and handling requirements with information in storage, in process, and/or in transmission; b. Ensures that the security attribute associations are made and retained with the information; c. Establishes the permitted attributes in accordance with IS contractual requirements; and d. Determines the permitted values for each of the established security attributes.
AC-16 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
AC-16 — NIST 800-53 Supplemental Guidance
Information is represented internally within information systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are typically associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures such as records, buffers, tables, files, inter-process pipes, and communications ports. Security attributes, a form of metadata, are abstractions representing the basic properties or characteristics of active and passive entities with respect to safeguarding information. These attributes may be associated with active entities (i.e., subjects) that have the potential to send or receive information, to cause information to flow among objects, or to change the information system state. These attributes may also be associated with passive entities (i.e., objects) that contain or receive information. The association of security attributes to subjects and objects is referred to as binding and is typically inclusive of setting the attribute value and the attribute type. Security attributes when bound to data/information, enables the enforcement of information security policies for access control and information flow control, either through organizational processes or information system functions or mechanisms. The content or assigned values of security attributes can directly affect the ability of individuals to access organizational information.
Organizations can define the types of attributes needed for selected information systems to support missions/business functions. There is potentially a wide range of values that can be assigned to any given security attribute. Release markings could include, for example, US only, NATO, or NOFORN (not releasable to foreign nationals). By specifying permitted attribute ranges and values, organizations can ensure that the security attribute values are meaningful and relevant. The term security labeling refers to the association of security attributes with subjects and objects represented by internal data structures within organizational information systems, to enable information system-based enforcement of information security policies. Security labels include, for example, access authorizations, data life cycle protection (i.e., encryption and data expiration), nationality, affiliation as contractor, and classification of information in accordance with legal and compliance requirements. The term security marking refers to the association of security attributes with objects in a human-readable form, to enable organizational process-based enforcement of information security policies. The AC-16 base control represents the requirement for user-based attribute association (marking). The enhancements to AC-16 represent additional requirements including information system-based attribute association (labeling). Types of attributes include, for example, classification level for objects and clearance (access authorization) level for subjects. An example of a value for both of these attribute types is Top Secret. Related controls: AC-3, AC-4, AC-6, AC-21, AU-2, AU-10, SC-16, MP-3.
AC-16(3) — DAAPM Appendix A Control Verbiage
The information system maintains the association and integrity of [Assignment: organization-defined security attributes] to [Assignment: organization-defined subjects and objects].
AC-16(3) — DCSA Supplemental Guidance
AC-16(3) — NIST 800-53 Supplemental Guidance
Maintaining the association and integrity of security attributes to subjects and objects with sufficient assurance helps to ensure that the attribute associations can be used as the basis of automated policy actions. Automated policy actions include, for example, access control decisions or information flow control decisions.
AC-16(4) — DAAPM Appendix A Control Verbiage
The information system supports the association of [Assignment: organization-defined security attributes] with [Assignment: organization-defined subjects and objects] by authorized individuals (or processes acting on behalf of individuals).
AC-16(4) — DCSA Supplemental Guidance
AC-16(4) — NIST 800-53 Supplemental Guidance
The support provided by information systems can vary to include: (i) prompting users to select specific security attributes to be associated with specific information objects; (ii) employing automated mechanisms for categorizing information with appropriate attributes based on defined policies; or (iii) ensuring that the combination of selected security attributes selected is valid. Organizations consider the creation, deletion, or modification of security attributes when defining auditable events.
AC-16(5) — DAAPM Appendix A Control Verbiage
The information system displays security attributes in human-readable form on each object that the system transmits to output devices to identify special dissemination, handling, or distribution instructions.
AC-16(5) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
AC-16(5) — NIST 800-53 Supplemental Guidance
Information system outputs include, for example, pages, screens, or equivalent. Information system output devices include, for example, printers and video displays on computer workstations, notebook computers, and personal digital assistants.
AC-16(6) — DAAPM Appendix A Control Verbiage
The organization allows personnel to associate, and maintain the association of the appropriate level of classification, access and/or handling caveats associated with files they create in accordance with the Security Classification Guide (SCG) or locally defined security policies.
AC-16(6) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
AC-16(6) — NIST 800-53 Supplemental Guidance
This control enhancement requires individual users (as opposed to the information system) to maintain associations of security attributes with subjects and objects.
AC-16(7) — DAAPM Appendix A Control Verbiage
The organization provides a consistent interpretation of security attributes transmitted between distributed information system components.
AC-16(7) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
AC-16(7) — NIST 800-53 Supplemental Guidance
In order to enforce security policies across multiple components in distributed information systems (e.g., distributed database management systems, cloud-based systems, and service-oriented architectures), organizations provide a consistent interpretation of security attributes that are used in access enforcement and flow enforcement decisions. Organizations establish agreements and processes to ensure that all distributed information system components implement security attributes with consistent interpretations in automated access/flow enforcement actions.
AC-16(8) — DAAPM Appendix A Control Verbiage
The information system implements [Assignment: organization-defined techniques or technologies] with [Assignment: organization-defined level of assurance] in associating security attributes to information.
AC-16(8) — DCSA Supplemental Guidance
AC-16(8) — NIST 800-53 Supplemental Guidance
The association (i.e., binding) of security attributes to information within information systems is of significant importance with regard to conducting automated access enforcement and flow enforcement actions. The association of such security attributes can be accomplished with technologies/techniques providing different levels of assurance. For example, information systems can cryptographically bind security attributes to information using digital signatures with the supporting cryptographic keys protected by hardware devices (sometimes known as hardware roots of trust).
AC-17 — DAAPM Appendix A Control Verbiage
The organization: a. Establishes and documents usage restrictions, configuration/connection requirements, and implementation guidance for each type of remote access allowed; and b. Authorizes remote access to the information system prior to allowing such connections.
AC-17 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Weekly
AC-17 — NIST 800-53 Supplemental Guidance
Remote access is access to organizational information systems by users (or processes acting on behalf of users) communicating through external networks (e.g., the Internet). Remote access methods include, for example, dial-up, broadband, and wireless. Organizations often employ encrypted virtual private networks (VPNs) to enhance confidentiality and integrity over remote connections. The use of encrypted VPNs does not make the access non-remote; however, the use of VPNs, when adequately provisioned with appropriate security controls (e.g., employing appropriate encryption techniques for confidentiality and integrity protection) may provide sufficient assurance to the organization that it can effectively treat such connections as internal networks. Still, VPN connections traverse external networks, and the encrypted VPN does not enhance the availability of remote connections. Also, VPNs with encrypted tunnels can affect the organizational capability to adequately monitor network communications traffic for malicious code. Remote access controls apply to information systems other than public web servers or systems designed for public access. This control addresses authorization prior to allowing remote access without specifying the formats for such authorization. While organizations may use interconnection security agreements to authorize remote access connections, such agreements are not required by this control. Enforcing access restrictions for remote connections is addressed in AC-3.Related controls: AC-2, AC-3, AC-18, AC-19, AC-20, CA-3, CA-7, CM-8, IA-2, IA-3, IA-8, MA-4, PE-17, PL-4, SC-10, SI-4.
AC-17(1) — DAAPM Appendix A Control Verbiage
The information system monitors and controls remote access methods.
AC-17(1) — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Weekly
AC-17(1) — NIST 800-53 Supplemental Guidance
Automated monitoring and control of remote access sessions allows organizations to detect cyber attacks and also ensure ongoing compliance with remote access policies by auditing connection activities of remote users on a variety of information system components (e.g., servers, workstations, notebook computers, smart phones, and tablets). Related controls: AU-2, AU-12.
AC-17(2) — DAAPM Appendix A Control Verbiage
The information system implements cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions.
AC-17(2) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Weekly
AC-17(2) — NIST 800-53 Supplemental Guidance
The encryption strength of mechanism is selected based on the security categorization of the information. Related controls: SC-8, SC-12, SC-13.
AC-17(3) — DAAPM Appendix A Control Verbiage
The information system routes all remote accesses through an approved limited number of managed network access control points managed network access control points.
AC-17(3) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Weekly
AC-17(3) — NIST 800-53 Supplemental Guidance
Limiting the number of access control points for remote accesses reduces the attack surface for organizations. Organizations consider the Trusted Internet Connections (TIC) initiative requirements for external network connections. Related control: SC-7.
AC-17(4) — DAAPM Appendix A Control Verbiage
The organization: (a) Authorizes the execution of privileged commands and access to security-relevant information via remote access only for compelling operational needs; and (b) Documents the rationale for such access in the security plan for the information system.
AC-17(4) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Weekly
AC-17(6) — DAAPM Appendix A Control Verbiage
The organization ensures that users protect information about remote access mechanisms from unauthorized use and disclosure.
AC-17(6) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Weekly
AC-17(9) — DAAPM Appendix A Control Verbiage
The organization provides the capability to expeditiously disconnect or disable remote access to the information system within one hour after notification, 30 minutes of identification of an event or inactivity for low confidentiality or integrity impact; 20 minutes for moderate confidentiality or integrity impact; or 10 minutes for high confidentiality or integrity impact.
AC-17(9) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Weekly
AC-17(9) — NIST 800-53 Supplemental Guidance
This control enhancement requires organizations to have the capability to rapidly disconnect current users remotely accessing the information system and/or disable further remote access. The speed of disconnect or disablement varies based on the criticality of missions/business functions and the need to eliminate immediate or future remote access to organizational information systems.
AC-18 — DAAPM Appendix A Control Verbiage
The organization: a. Establishes usage restrictions, configuration/connection requirements, and implementation guidance for wireless access; and b. Authorizes wireless access to the information system prior to allowing such connections.
AC-18 — DCSA Supplemental Guidance
This control applies even if no wireless is authorized in the facility. For example, wireless is prohibited and implementation guidance should include that users are instructed/reminded during initial and Annual refresher training that wireless access and wireless devices are prohibited [AC-18.a]. Several information technology products are developed to have wireless capabilities. If wireless capabilities are enabled, either inadvertently or intentionally, there is a risk of unauthorized access to, and exfiltration of, classified information. This security control serves to ensure the organization takes conscious actions to either allow and to establish appropriate restrictions on its use, or disallow its use. In certain situations, wireless signals may radiate beyond the confines and control of organization-controlled facilities. As a result, wireless technologies are generally prohibited from use in facilities. Exceptions may include wireless devices without memory that convey no meaningful data (e.g., personal wearable devices, remote control devices for audio/visual presentations, and infrared (IR) and Bluetooth mice). Any exceptions shall be documented and approved by the AO and cognizant SCA [AC-18.b] to include limiting wireless capabilities within the facility boundary. Such exceptions could also warrant Certified TEMPEST Technical Authority (CTTA) evaluation. Recommended Continuous Monitoring Frequency: Quarterly
AC-18 — NIST 800-53 Supplemental Guidance
Wireless technologies include, for example, microwave, packet radio (UHF/VHF), 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g., EAP/TLS, PEAP), which provide credential protection and mutual authentication. Related controls: AC-2, AC-3, AC-17, AC-19, CA-3, CA-7, CM-8, IA-2, IA-3, IA-8, PL-4, SI-4.
AC-18(1) — DAAPM Appendix A Control Verbiage
The information system protects wireless access to the system using authentication of both users and devices (e.g., devices to wireless networks and users to enterprise services), and encryption.
AC-18(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
AC-18(3) — DAAPM Appendix A Control Verbiage
The organization disables, when not intended for use, wireless networking capabilities internally embedded within information system components prior to issuance and deployment.
AC-18(3) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
AC-18(4) — DAAPM Appendix A Control Verbiage
The organization identifies and explicitly authorizes users allowed to independently configure wireless networking capabilities.
AC-18(4) — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Annual
AC-18(4) — NIST 800-53 Supplemental Guidance
Organizational authorizations to allow selected users to configure wireless networking capability are enforced in part, by the access enforcement mechanisms employed within organizational information systems. Related controls: AC-3, SC-15.
AC-19 — DAAPM Appendix A Control Verbiage
The organization: a. Establishes usage restrictions, configuration requirements, connection requirements, and implementation guidance for organization-controlled mobile devices; and b. Authorizes the connection of mobile devices to organizational information systems.
AC-19 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Monthly
AC-19 — NIST 800-53 Supplemental Guidance
A mobile device is a computing device that: (i) has a small form factor such that it can easily be carried by a single individual; (ii) is designed to operate without a physical connection (e.g., wirelessly transmit or receive information); (iii) possesses local, non-removable or removable data storage; and (iv) includes a self-contained power source. Mobile devices may also include voice communication capabilities, on-board sensors that allow the device to capture information, and/or built-in features for synchronizing local data with remote locations. Examples include smart phones, E-readers, and tablets. Mobile devices are typically associated with a single individual and the device is usually in close proximity to the individual; however, the degree of proximity can vary depending upon on the form factor and size of the device. The processing, storage, and transmission capability of the mobile device may be comparable to or merely a subset of desktop systems, depending upon the nature and intended purpose of the device. Due to the large variety of mobile devices with different technical characteristics and capabilities, organizational restrictions may vary for the different classes/types of such devices. Usage restrictions and specific implementation guidance for mobile devices include, for example, configuration management, device identification and authentication, implementation of mandatory protective software (e.g., malicious code detection, firewall), scanning devices for malicious code, updating virus protection software, scanning for critical software updates and patches, conducting primary operating system (and possibly other resident software) integrity checks, and disabling unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the need to provide adequate security for mobile devices goes beyond the requirements in this control. Many safeguards and countermeasures for mobile devices are reflected in other security controls in the catalog allocated in the initial control baselines as starting points for the development of security plans and overlays using the tailoring process. There may also be some degree of overlap in the requirements articulated by the security controls within the different families of controls. AC-20 addresses mobile devices that are not organization-controlled. Related controls: AC-3, AC-7, AC-18, AC-20, CA-9, CM-2, IA-2, IA-3, MP-2, MP-4, MP-5, PL-4, SC-7, SC-43, SI-3, SI-4.
AC-19(5) — DAAPM Appendix A Control Verbiage
The organization employs NSA-approved encryption to protect the confidentiality and integrity of information on all mobile devices authorized to connect to the organization's IS.
AC-19(5) — DCSA Supplemental Guidance
Mobile devices that contain classified information or controlled unclassified information (CUI) must be encrypted with an NSA or approved encryption standard. Recommended Continuous Monitoring Frequency: Monthly
AC-19(5) — NIST 800-53 Supplemental Guidance
Container-based encryption provides a more fine-grained approach to the encryption of data/information on mobile devices, including for example, encrypting selected data structures such as files, records, or fields. Related controls: MP-5, SC-13, SC-28.
AC-20 — DAAPM Appendix A Control Verbiage
The organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to: a. Access the information system from external information systems; and b. Process, store, or transmit organization-controlled information using external information systems.
AC-20 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
AC-20 — NIST 800-53 Supplemental Guidance
External information systems are information systems or components of information systems that are outside of the authorization boundary established by organizations and for which organizations typically have no direct supervision and authority over the application of required security controls or the assessment of control effectiveness. External information systems include, for example: (i) personally owned information systems/devices (e.g., notebook computers, smart phones, tablets, personal digital assistants); (ii) privately owned computing and communications devices resident in commercial or public facilities (e.g., hotels, train stations, convention centers, shopping malls, or airports); (iii) information systems owned or controlled by nonfederal governmental organizations; and (iv) federal information systems that are not owned by, operated by, or under the direct supervision and authority of organizations. This control also addresses the use of external information systems for the processing, storage, or transmission of organizational information, including, for example, accessing cloud services (e.g., infrastructure as a service, platform as a service, or software as a service) from organizational information systems. For some external information systems (i.e., information systems operated by other federal agencies, including organizations subordinate to those agencies), the trust relationships that have been established between those organizations and the originating organization may be such, that no explicit terms and conditions are required. Information systems within these organizations would not be considered external. These situations occur when, for example, there are pre-existing sharing/trust agreements (either implicit or explicit) established between federal agencies or organizations subordinate to those agencies, or when such trust agreements are specified by applicable laws, Executive Orders, directives, or policies. Authorized individuals include, for example, organizational personnel, contractors, or other individuals with authorized access to organizational information systems and over which organizations have the authority to impose rules of behavior with regard to system access. Restrictions that organizations impose on authorized individuals need not be uniform, as those restrictions may vary depending upon the trust relationships between organizations. Therefore, organizations may choose to impose different security restrictions on contractors than on state, local, or tribal governments. This control does not apply to the use of external information systems to access public interfaces to organizational information systems (e.g., individuals accessing federal information through www.usa.gov). Organizations establish terms and conditions for the use of external information systems in accordance with organizational security policies and procedures. Terms and conditions address as a minimum: types of applications that can be accessed on organizational information systems from external information systems; and the highest security category of information that can be processed, stored, or transmitted on external information systems. If terms and conditions with the owners of external information systems cannot be established, organizations may impose restrictions on organizational personnel using those external systems. Related controls: AC-3, AC-17, AC-19, CA-3, PL-4, SA-9.
AC-20(1) — DAAPM Appendix A Control Verbiage
The organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization: (a) Verifies the implementation of required security controls on the external system as specified in the organization's information security policy and security plan; or (b) Retains approved information system connection or processing agreements with the organizational entity hosting the external information system.
AC-20(1) — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Annual
AC-20(1) — NIST 800-53 Supplemental Guidance
This control enhancement recognizes that there are circumstances where individuals using external information systems (e.g., contractors, coalition partners) need to access organizational information systems. In those situations, organizations need confidence that the external information systems contain the necessary security safeguards (i.e., security controls), so as not to compromise, damage, or otherwise harm organizational information systems. Verification that the required security controls have been implemented can be achieved, for example, by third-party, independent assessments, attestations, or other means, depending on the confidence level required by organizations. Related control: CA-2.
AC-20(2) — DAAPM Appendix A Control Verbiage
The organization shall limit the use of organization-controlled portable storage devices by authorized individuals on external information systems.
AC-20(2) — DCSA Supplemental Guidance
AO approval is required. This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Annual
AC-20(2) — NIST 800-53 Supplemental Guidance
Limits on the use of organization-controlled portable storage devices in external information systems include, for example, complete prohibition of the use of such devices or restrictions on how the devices may be used and under what conditions the devices may be used.
AC-20(3) — DAAPM Appendix A Control Verbiage
The organization prohibits, unless specifically authorized by the AO, the use of non-organizationally owned information systems, system components, or devices to process, store, or transmit organizational information.
AC-20(3) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Monthly
AC-20(3) — NIST 800-53 Supplemental Guidance
Non-organizationally owned devices include devices owned by other organizations (e.g., federal/state agencies, contractors) and personally owned devices. There are risks to using non-organizationally owned devices. In some cases, the risk is sufficiently high as to prohibit such use. In other cases, it may be such that the use of non-organizationally owned devices is allowed but restricted in some way. Restrictions include, for example: (i) requiring the implementation of organization-approved security controls prior to authorizing such connections; (ii) limiting access to certain types of information, services, or applications; (iii) using virtualization techniques to limit processing and storage activities to servers or other system components provisioned by the organization; and (iv) agreeing to terms and conditions for usage. For personally owned devices, organizations consult with the Office of the General Counsel regarding legal issues associated with using such devices in operational environments, including, for example, requirements for conducting forensic analyses during investigations after an incident.
AC-20(4) — DAAPM Appendix A Control Verbiage
The organization prohibits the use of network accessible storage devices, unless specifically approved by the AO, in external information systems.
AC-20(4) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Monthly
AC-20(4) — NIST 800-53 Supplemental Guidance
Network accessible storage devices in external information systems include, for example, online storage devices in public, hybrid, or community cloud-based systems.
AC-21 — DAAPM Appendix A Control Verbiage
The organization: a. Facilitates information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions on the information for circumstances where the IS cannot enforce appropriate sharing controls (e.g., video teleconferences (VTCs), phone conversation, and fax transmittal). The organization will use an approved mechanism to ensure informed security decisions are made in order to prevent inadvertent disclosure; and b. Employs automated or manual review process to assist users in making information sharing/collaboration decisions.
AC-21 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
AC-21 — NIST 800-53 Supplemental Guidance
This control applies to information that may be restricted in some manner (e.g., privileged medical information, contract-sensitive information, proprietary information, personally identifiable information, classified information related to special access programs or compartments) based on some formal or administrative determination. Depending on the particular information-sharing circumstances, sharing partners may be defined at the individual, group, or organizational level. Information may be defined by content, type, security category, or special access program/compartment. Related control: AC-3.
AC-21(1) — DAAPM Appendix A Control Verbiage
The information system enforces information-sharing decisions by authorized users based on access authorizations of sharing partners and access restrictions on information to be shared.
AC-21(1) — DCSA Supplemental Guidance
AC-21(1) — NIST 800-53 Supplemental Guidance
AC-23 — DAAPM Appendix A Control Verbiage
The organization employs data mining prevention and detection technics for data storage objects as defined in the authorized SSP to adequately detect and protect against data mining.
AC-23 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Monthly
AC-23 — NIST 800-53 Supplemental Guidance
Data storage objects include, for example, databases, database records, and database fields. Data mining prevention and detection techniques include, for example: (i) limiting the types of responses provided to database queries; (ii) limiting the number/frequency of database queries to increase the work factor needed to determine the contents of such databases; and (iii) notifying organizational personnel when atypical database queries or accesses occur. This control focuses on the protection of organizational information from data mining while such information resides in organizational data stores. In contrast, AU-13 focuses on monitoring for organizational information that may have been mined or otherwise obtained from data stores and is now available as open source information residing on external sites, for example, through social networking or social media websites.
AT-1 — DAAPM Appendix A Control Verbiage
The organization: a. Develops, documents, and disseminates to all personnel: 1. A security awareness and training policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and 2. Procedures to facilitate the implementation of the security awareness and training policy and associated security awareness and training controls; and b. Reviews and updates the current: 1. Security awareness and training policy Annually; and 2. Security awareness and training procedures at least Annually.
AT-1 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
AT-1 — NIST 800-53 Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AT family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures. Related control: PM-9.
AT-2 — DAAPM Appendix A Control Verbiage
The organization provides basic security awareness training to information system users (including managers, senior executives, and contractors): a. As part of initial training for new users; b. When required by information system changes; and c. At least Annually thereafter.
AT-2 — DCSA Supplemental Guidance
Security awareness training will be conducted: a. During in-processing: site specific information will be briefed based on the mission and requirements of the job; b. Upon receipt of a USERID and authenticator: the Privileged User, ISSO or their alternate will brief the user on his/her IA responsibilities; c. Annually, as part of refresher training and awareness: classroom training, briefings, computer-based training, or seminars will be conducted and participation/completion documented to ensure all users understand and comply with IA training requirements; and d. Annual refresher and awareness training may also be delivered through staff meetings, online delivery systems, or similar venues and documented in accordance with Security Training Records; as required, due to policy or regulatory violations and lessons learned from incident handling and response. The purpose of security awareness training is to sensitize the user to the threats and vulnerabilities of national security information systems, and inform the user of the need to protect information and the systems that process, transmit and/or store information. Recommended Continuous Monitoring Frequency: Annual
AT-2 — NIST 800-53 Supplemental Guidance
Organizations determine the appropriate content of security awareness training and security awareness techniques based on the specific organizational requirements and the information systems to which personnel have authorized access. The content includes a basic understanding of the need for information security and user actions to maintain security and to respond to suspected security incidents. The content also addresses awareness of the need for operations security. Security awareness techniques can include, for example, displaying posters, offering supplies inscribed with security reminders, generating email advisories/notices from senior organizational officials, displaying logon screen messages, and conducting information security awareness events. Related controls: AT-3, AT-4, PL-4.
AT-2(2) — DAAPM Appendix A Control Verbiage
The organization includes security awareness training on recognizing and reporting potential indicators of insider threat.
AT-2(2) — DCSA Supplemental Guidance
Additional information on insider threat indicators training can be found at: http:www.cdse.edu/catalog/insider-threat.html. This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Annual
AT-2(2) — NIST 800-53 Supplemental Guidance
Potential indicators and possible precursors of insider threat can include behaviors such as inordinate, long-term job dissatisfaction, attempts to gain access to information not required for job performance, unexplained access to financial resources, bullying or sexual harassment of fellow employees, workplace violence, and other serious violations of organizational policies, procedures, directives, rules, or practices. Security awareness training includes how to communicate employee and management concerns regarding potential indicators of insider threat through appropriate organizational channels in accordance with established organizational policies and procedures. Related controls: PL-4, PM-12, PS-3, PS-6.
AT-3 — DAAPM Appendix A Control Verbiage
The organization provides role-based security training to personnel with assigned security roles and responsibilities: a. Before authorizing access to the information system or performing assigned duties; b. When required by information system changes; and c. At least Annually thereafter.
AT-3 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
AT-3 — NIST 800-53 Supplemental Guidance
Organizations determine the appropriate content of security training based on the assigned roles and responsibilities of individuals and the specific security requirements of organizations and the information systems to which personnel have authorized access. In addition, organizations provide enterprise architects, information system developers, software developers, acquisition/procurement officials, information system managers, system/network administrators, personnel conducting configuration management and auditing activities, personnel performing independent verification and validation activities, security control assessors, and other personnel having access to system-level software, adequate security-related technical training specifically tailored for their assigned duties. Comprehensive role-based training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical safeguards and countermeasures. Such training can include for example, policies, procedures, tools, and artifacts for the organizational security roles defined. Organizations also provide the training necessary for individuals to carry out their responsibilities related to operations and supply chain security within the context of organizational information security programs. Role-based security training also applies to contractors providing services to federal agencies. Related controls: AT-2, AT-4, PL-4, PS-7, SA-3, SA-12, SA-16.
AT-3(2) — DAAPM Appendix A Control Verbiage
The organization provides all security personnel with initial and Annual training in the employment and operation of physical security controls.
AT-3(2) — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Annual
AT-3(2) — NIST 800-53 Supplemental Guidance
Physical security controls include, for example, physical access control devices, physical intrusion alarms, monitoring/surveillance equipment, and security guards(deployment and operating procedures). Organizations identify personnel with specific roles and responsibilities associated with physical security controls requiring specialized training. Related controls: PE-2, PE-3, PE-4, PE-5.
AT-3(4) — DAAPM Appendix A Control Verbiage
The organization provides training to its personnel on indicators of malicious code in order to recognize suspicious communications and anomalous behavior in organizational information systems.
AT-3(4) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
AT-3(4) — NIST 800-53 Supplemental Guidance
A well-trained workforce provides another organizational safeguard that can be employed as part of a defense-in-depth strategy to protect organizations against malicious code coming in to organizations via email or the web applications. Personnel are trained to look for indications of potentially suspicious email (e.g., receiving an unexpected email, receiving an email containing strange or poor grammar, or receiving an email from an unfamiliar sender but who appears to be from a known sponsor or contractor). Personnel are also trained on how to respond to such suspicious email or web communications (e.g., not opening attachments, not clicking on embedded web links, and checking the source of email addresses). For this process to work effectively, all organizational personnel are trained and made aware of what constitutes suspicious communications. Training personnel on how to recognize anomalous behaviors in organizational information systems can potentially provide early warning for the presence of malicious code. Recognition of such anomalous behavior by organizational personnel can supplement automated malicious code detection and protection tools and systems employed by organizations.
AT-4 — DAAPM Appendix A Control Verbiage
The organization: a. Documents and monitors individual information system security training activities including basic security awareness training and specific information system security training; and b. Retains individual training records for a minimum of five years.
AT-4 — DCSA Supplemental Guidance
Training records shall contain, at a minimum, the following elements: a. User name. b. Name of training. c. Date of training (initial and refresher). d. Type of training(classroom, one-on-one, online CBT, briefing, etc.). Initial training records must contain signatures. Refresher training may be documented through user-initialed attendance rosters, e-mail acknowledgments, USERIDs captured through online content delivery systems, or other similar user acknowledgments. In addition, organizations shall maintain training records. Recommended Continuous Monitoring Frequency: Annual
AT-4 — NIST 800-53 Supplemental Guidance
Documentation for specialized training may be maintained by individual supervisors at the option of the organization. Related controls: AT-2, AT-3, PM-14.
AU-1 — DAAPM Appendix A Control Verbiage
The organization: a. Develops, documents, and disseminates to ISSM, ISSO, designated users, and auditing personnel: 1. An audit and accountability policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and 2. Procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls; and b. Reviews and updates the current: 1. Audit and accountability policy at least Annually; and 2. Audit and accountability procedures at least Annually.
AU-1 — DCSA Supplemental Guidance
The audit capability should be automated where feasible and provide adequate on-line or off-line storage of audit information separate from data files. If automated audit collection is not supported, use of manual audits must be documented in the SSP. The AO's ATO must specify approval to implement manual audits. Recommended Continuous Monitoring Frequency: Annual
AU-1 — NIST 800-53 Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AU family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures. Related control: PM-9.
AU-2 — DAAPM Appendix A Control Verbiage
The organization: a. Determines that the information system is capable of auditing the following events:(1) Successful and unsuccessful attempts to access, modify, or delete privileges, security objects, security levels, or categories of information (e.g. classification levels). (2) Successful and unsuccessful logon attempts; (3) Privileged activities or other system level access; (4) Starting and ending time for user access to the system; (5) Concurrent logons from different workstations, Successful and unsuccessful accesses to objects; (6) All program initiations; (7) All direct access to the information system; (8) All account creations, modifications, disabling, and terminations; and (9) All kernel module load, unload, and restart. b. Coordinates the security audit function with other organizational entities requiring audit-related information to enhance mutual support and to help guide the selection of auditable events; c. Provides a rationale for why the auditable events are deemed to be adequate to support after-the-fact investigations of security incidents; and d. Determines that the following events are to be audited within the information system:(1) Authentication events: (a) Logons(Success/Failure). (b) Logoffs(Success). (2) Security Relevant File and Objects events: (a) Create(Success/Failure). (b) Access(Success/Failure). (c) Delete(Success/Failure). (d) Modify(Success/Failure). (e) Permission Modification(Success/Failure). (f) Ownership Modification(Success/Failure). (g) Export/Writes/downloads to devices/digital media (e.g., CD/DVD, USB, SD)(Success/Failure). (h) Import/Uploads from devices/digital media (e.g., CD/DVD, USB, SD)(Success/Failure). (3) User and Group Management events: (a) User add, delete, modify, disable, lock(Success/Failure) (b) Group/Role add, delete, and modify(Success/Failure). (4) Use of Privileged/Special Rights events: (a) Security or audit policy changes(Success/Failure). (b) Configuration changes(Success/Failure). (c) Admin or root-level access(Success/Failure). (d) Privilege/Role escalation(Success/Failure). (e) Audit and security relevant log data accesses(Success/Failure). (f) System reboot, restart and shutdown(Success/Failure). (g) Print to a device(Success/Failure).
AU-2 — DCSA Supplemental Guidance
In order to support the implementation of AU Security Controls, audit rules should be created for Security Relevant Objects(SROs). SROs include operating system executables, operating system configuration, system management/maintenance executables, audit data, and security related software. For example: 1. Kernel 2. Trusted Computing Base 3. Security Auditing Applications(Examples: vulnerability scanner (includes configuration and results), security event auditing software and data repository (e.g. .evt logs, audit.log) 4. Security Applications used to control and monitor Insider Threat Behaviors (e.g. removable media transfer) 5. Security Applications used to mitigate against hacker activities, malware, and viruses(Examples: Symantec SEP, McAfee HBSS, Host Intrustion Detection System, Host Intrustion Prevention System, Antivirus, Application Blocking, Patch Management Clients, and Security Baseline Enforcement agents). Reference: https:www.cnss.gov/CNSS/issuances/Instructions.cfm Recommended Continuous Monitoring Frequency: Quarterly
AU-2 — NIST 800-53 Supplemental Guidance
An event is any observable occurrence in an organizational information system. Organizations identify audit events as those events which are significant and relevant to the security of information systems and the environments in which those systems operate in order to meet specific and ongoing audit needs. Audit events can include, for example, password changes, failed logons, or failed accesses related to information systems, administrative privilege usage, PIV credential usage, or third-party credential usage. In determining the set of auditable events, organizations consider the auditing appropriate for each of the security controls to be implemented. To balance auditing requirements with other information system needs, this control also requires identifying that subset of auditable events that are audited at a given point in time. For example, organizations may determine that information systems must have the capability to log every file access both successful and unsuccessful, but not activate that capability except for specific circumstances due to the potential burden on system performance. Auditing requirements, including the need for auditable events, may be referenced in other security controls and control enhancements. Organizations also include auditable events that are required by applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Audit records can be generated at various levels of abstraction, including at the packet level as information traverses the network. Selecting the appropriate level of abstraction is a critical aspect of an audit capability and can facilitate the identification of root causes to problems. Organizations consider in the definition of auditable events, the auditing necessary to cover related events such as the steps in distributed, transaction-based processes (e.g., processes that are distributed across multiple organizations) and actions that occur in service-oriented architectures. Related controls: AC-6, AC-17, AU-3, AU-12, MA-4, MP-2, MP-4, SI-4.
AU-2(3) — DAAPM Appendix A Control Verbiage
The organization reviews and updates the audited events Annually and based on situational awareness of threat vulnerabilities.
AU-2(3) — DCSA Supplemental Guidance
The review shall include coordination with other organizational entities requiring audit-related information (e.g., Incident Response(IR), Counterintelligence) to enhance mutual support and to help guide the selection of auditable events. This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Quarterly
AU-2(3) — NIST 800-53 Supplemental Guidance
Over time, the events that organizations believe should be audited may change. Reviewing and updating the set of audited events periodically is necessary to ensure that the current set is still necessary and sufficient.
AU-3 — DAAPM Appendix A Control Verbiage
The information system generates audit records containing information that establishes what type of event occurred, when the event occurred, where the event occurred, the source of the event, the outcome of the event, and the identity of any individuals or subjects associated with the event.
AU-3 — DCSA Supplemental Guidance
If manual audit collection is approved by the AO, the audit records shall contain, at a minimum, the following content: a. Date. b. Identification of the user. c. Time the user logs on and off the system. d. Function(s) performed. e. Terminal or Workstation ID. Manual audit logs may be used to record the transmission of any data over a fax connected to a secure voice line (e.g., Secure Terminal Equipment(STE)). These logs will be maintained for one year and must include the following information: a. Sender's name, organization and telephone number. b. Date and time of fax transmission. c. Classification level of the information. d. Recipient's name, organization and telephone number. Recommended Continuous Monitoring Frequency: Quarterly
AU-3 — NIST 800-53 Supplemental Guidance
Audit record content that may be necessary to satisfy the requirement of this control, includes, for example, time stamps, source and destination addresses, user/process identifiers, event descriptions, success/fail indications, filenames involved, and access control or flow control rules invoked. Event outcomes can include indicators of event success or failure and event-specific results (e.g., the security state of the information system after the event occurred). Related controls: AU-2, AU-8, AU-12, SI-11.
AU-3(1) — DAAPM Appendix A Control Verbiage
The information system generates audit records containing the following additional information: (1) USERID. (2) Type of event/action. (3) Success or failure of event/action. (4) Date. (5) Time. (6) Terminal or Workstation ID. (7) Entity that initiated event/action. (8) Entity that completed event/action. (9) Remote access.
AU-3(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
AU-3(1) — NIST 800-53 Supplemental Guidance
Detailed information that organizations may consider in audit records includes, for example, full text recording of privileged commands or the individual identities of group account users. Organizations consider limiting the additional audit information to only that information explicitly needed for specific audit requirements. This facilitates the use of audit trails and audit logs by not including information that could potentially be misleading or could make it more difficult to locate information of interest.
AU-4 — DAAPM Appendix A Control Verbiage
The organization allocates audit record storage capacity in accordance with the authorized SSP. The information system must be configured to allocate sufficient log record storage capacity so that it will not become exhausted.
AU-4 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
AU-4 — NIST 800-53 Supplemental Guidance
Organizations consider the types of auditing to be performed and the audit processing requirements when allocating audit storage capacity. Allocating sufficient audit storage capacity reduces the likelihood of such capacity being exceeded and resulting in the potential loss or reduction of auditing capability. Related controls: AU-2, AU-5, AU-6, AU-7, AU-11, SI-4.
AU-4(1) — DAAPM Appendix A Control Verbiage
The information system off-loads audit records based on organizational requirements onto a different system or media than the system being audited.
AU-4(1) — DCSA Supplemental Guidance
Organizations should assign a frequency or threshold capacity when audit records are off-loaded. Related control: AU-9(2). Recommended Continuous Monitoring Frequency: Quarterly
AU-4(1) — NIST 800-53 Supplemental Guidance
Off-loading is a process designed to preserve the confidentiality and integrity of audit records by moving the records from the primary information system to a secondary or alternate system. It is a common process in information systems with limited audit storage capacity; the audit storage is used only in a transitory fashion until the system can communicate with the secondary or alternate system designated for storing the audit records, at which point the information is transferred.
AU-5 — DAAPM Appendix A Control Verbiage
The information system: a. Alerts designated organizational officials,(ISSM, ISSO, and system administrator) in the event of an audit processing failure; and b. Takes the following additional actions: at a minimum, record any audit processing failure in the audit log; if necessary, shut down the system.
AU-5 — DCSA Supplemental Guidance
For IS that are not capable of providing a warning, procedures for a manual method must be documented. Tactical/deployable information systems may be developed without all the features and security controls of standard information systems. Audit requirements for these systems should be reviewed for mission impact. For SUSA, bullet(a) alerts designated organization officials in the event of an audit processing failure may be waived, but bullet(b) record any audit processing failure in the audit log shall be implemented Recommended Continuous Monitoring Frequency: Quarterly
AU-5 — NIST 800-53 Supplemental Guidance
Audit processing failures include, for example, software/hardware errors, failures in the audit capturing mechanisms, and audit storage capacity being reached or exceeded. Organizations may choose to define additional actions for different audit processing failures (e.g., by type, by location, by severity, or a combination of such factors). This control applies to each audit data storage repository (i.e., distinct information system component where audit records are stored),the total audit storage capacity of organizations (i.e., all audit data storage repositories combined),or both. Related controls: AU-4, SI-12.
AU-5(1) — DAAPM Appendix A Control Verbiage
The information system provides a warning to Designated organizational officials,(ISSM, ISSO, and system administrator) immediately when allocated audit record storage volume reaches 75 percent of repository maximum audit record storage capacity.
AU-5(1) — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Quarterly
AU-5(1) — NIST 800-53 Supplemental Guidance
Organizations may have multiple audit data storage repositories distributed across multiple information system components, with each repository having different storage volume capacities.
AU-6 — DAAPM Appendix A Control Verbiage
The organization: a. Reviews and analyzes information system audit records at least Weekly for indications of any inappropriate or unusual activity; and b. Reports findings to ISO, ISSM, ISSO, and FSO.
AU-6 — DCSA Supplemental Guidance
These reviews shall be documented in either an electronic or manual log. The frequency of audit review and reporting must be based on the system risk assessment. This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Weekly
AU-6 — NIST 800-53 Supplemental Guidance
Audit review, analysis, and reporting covers information security-related auditing performed by organizations including, for example, auditing that results from monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and nonlocal maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at the information system boundaries, use of mobile code, and use of VoIP. Findings can be reported to organizational entities that include, for example, incident response team, help desk, information security group/department. If organizations are prohibited from reviewing and analyzing audit information or unable to conduct such activities (e.g., in certain national security applications or systems), the review/analysis may be carried out by other organizations granted such authority. Related controls: AC-2, AC-3, AC-6, AC-17, AT-3, AU-7, AU-16, CA-7, CM-5, CM-10, CM-11, IA-3, IA-5, IR-5, IR-6, MA-4, MP-4, PE-3, PE-6, PE-14, PE-16, RA-5, SC-7, SC-18, SC-19, SI-3, SI-4, SI-7.
AU-6(1) — DAAPM Appendix A Control Verbiage
The organization employs automated mechanisms to integrate audit review, analysis, and reporting processes to support organizational processes for investigation and response to suspicious activities.
AU-6(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
AU-6(1) — NIST 800-53 Supplemental Guidance
Organizational processes benefiting from integrated audit review, analysis, and reporting include, for example, incident response, continuous monitoring, contingency planning, and Inspector General audits. Related controls: AU-12, PM-7.
AU-6(3) — DAAPM Appendix A Control Verbiage
The organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness.
AU-6(3) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
AU-6(3) — NIST 800-53 Supplemental Guidance
Organization-wide situational awareness includes awareness across all three tiers of risk management (i.e., organizational, mission/business process, and information system) and supports cross-organization awareness. Related controls: AU-12, IR-4.
AU-6(4) — DAAPM Appendix A Control Verbiage
The information system provides the capability to centrally review and analyze audit records from multiple components within the system.
AU-6(4) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
AU-6(4) — NIST 800-53 Supplemental Guidance
Automated mechanisms for centralized reviews and analyses include, for example, Security Information Management products. Related controls: AU-2, AU-12.
AU-6(5) — DAAPM Appendix A Control Verbiage
The organization integrates analysis of audit records with analysis of vulnerability scanning information; performance data; and/or information system monitoring information; and program-defined data/information collected from other sources to further enhance the ability to identify inappropriate or unusual activity.
AU-6(5) — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Quarterly
AU-6(5) — NIST 800-53 Supplemental Guidance
This control enhancement does not require vulnerability scanning, the generation of performance data, or information system monitoring. Rather, the enhancement requires that the analysis of information being otherwise produced in these areas is integrated with the analysis of audit information. Security Event and Information Management System tools can facilitate audit record aggregation/consolidation from multiple information system components as well as audit record correlation and analysis. The use of standardized audit record analysis scripts developed by organizations(with localized script adjustments, as necessary) provides more cost-effective approaches for analyzing audit record information collected. The correlation of audit record information with vulnerability scanning information is important in determining the veracity of vulnerability scans and correlating attack detection events with scanning results. Correlation with performance data can help uncover denial of service attacks or cyber attacks resulting in unauthorized use of resources. Correlation with system monitoring information can assist in uncovering attacks and in better relating audit information to operational situations. Related controls: AU-12, IR-4, RA-5.
AU-6(8) — DAAPM Appendix A Control Verbiage
The organization performs a full-text analysis of audited privileged commands in a physically distinct component or subsystem of the information system, or other information system that is dedicated to that analysis.
AU-6(8) — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Quarterly
AU-6(8) — NIST 800-53 Supplemental Guidance
This control enhancement requires a distinct environment for the dedicated analysis of audit information related to privileged users without compromising such information on the information system where the users have elevated privileges including the capability to execute privileged commands. Full text analysis refers to analysis that considers the full text of privileged commands (i.e., commands and all parameters) as opposed to analysis that considers only the name of the command. Full text analysis includes, for example, the use of pattern matching and heuristics. Related controls: AU-3, AU-9, AU-11, AU-12.
AU-6(9) — DAAPM Appendix A Control Verbiage
The organization correlates information from non-technical sources with audit information to enhance organization-wide situational awareness.
AU-6(9) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
AU-6(9) — NIST 800-53 Supplemental Guidance
Nontechnical sources include, for example, human resources records documenting organizational policy violations (e.g., sexual harassment incidents, improper use of organizational information assets). Such information can lead organizations to a more directed analytical effort to detect potential malicious insider activity. Due to the sensitive nature of the information available from nontechnical sources, organizations limit access to such information to minimize the potential for the inadvertent release of privacy-related information to individuals that do not have a need to know. Thus, correlation of information from nontechnical sources with audit information generally occurs only when individuals are suspected of being involved in a security incident. Organizations obtain legal advice prior to initiating such actions. Related control: AT-2.
AU-6(10) — DAAPM Appendix A Control Verbiage
The organization adjusts the level of audit review, analysis, and reporting within the information system when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information.
AU-6(10) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
AU-6(10) — NIST 800-53 Supplemental Guidance
The frequency, scope, and/or depth of the audit review, analysis, and reporting may be adjusted to meet organizational needs based on new information received.
AU-7 — DAAPM Appendix A Control Verbiage
The information system provides an audit reduction and report generation capability that: a. Supports on-demand audit review, analysis, and reporting requirements and after-the-fact investigations of security incidents; and b. Does not alter the original content or time ordering of audit records.
AU-7 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
AU-7 — NIST 800-53 Supplemental Guidance
Audit reduction is a process that manipulates collected audit information and organizes such information in a summary format that is more meaningful to analysts. Audit reduction and report generation capabilities do not always emanate from the same information system or from the same organizational entities conducting auditing activities. Audit reduction capability can include, for example, modern data mining techniques with advanced data filters to identify anomalous behavior in audit records. The report generation capability provided by the information system can generate customizable reports. Time ordering of audit records can be a significant issue if the granularity of the timestamp in the record is insufficient. Related control: AU-6.
AU-7(1) — DAAPM Appendix A Control Verbiage
The information system provides the capability to process audit records for events of interest based on selectable event criteria.
AU-7(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
AU-7(1) — NIST 800-53 Supplemental Guidance
Events of interest can be identified by the content of specific audit record fields including, for example, identities of individuals, event types, event locations, event times, event dates, system resources involved, IP addresses involved, or information objects accessed. Organizations may define audit event criteria to any degree of granularity required, for example, locations selectable by general networking location (e.g., by network or subnetwork) or selectable by specific information system component. Related controls: AU-2, AU-12.
AU-8 — DAAPM Appendix A Control Verbiage
The information system: a. Uses internal system clocks to generate time stamps for audit records; and b. Records time stamps for audit records that can be mapped to Coordinated Universal Time(UTC) or Greenwich Mean Time(GMT) and meets program-defined granularity of time.
AU-8 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
AU-8 — NIST 800-53 Supplemental Guidance
Time stamps generated by the information system include date and time. Time is commonly expressed in Coordinated Universal Time(UTC), a modern continuation of Greenwich Mean Time(GMT), or local time with an offset from UTC. Granularity of time measurements refers to the degree of synchronization between information system clocks and reference clocks, for example, clocks synchronizing within hundreds of milliseconds or within tens of milliseconds. Organizations may define different time granularities for different system components. Time service can also be critical to other security capabilities such as access control and identification and authentication, depending on the nature of the mechanisms used to support those capabilities. Related controls: AU-3, AU-12.
AU-8(1) — DAAPM Appendix A Control Verbiage
The information system: (a) Compares the internal information system clocks at least every 24 hours with an program-defined authoritative time source (e.g., Domain Controller, US Naval Observatory time server): and (b) Synchronizes the internal system clocks to the authoritative time source when the time difference is greater than the organizationally defined granularity in AU-8.
AU-8(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
AU-8(1) — NIST 800-53 Supplemental Guidance
This control enhancement provides uniformity of time stamps for information systems with multiple system clocks and systems connected over a network.
AU-9 — DAAPM Appendix A Control Verbiage
The information system protects audit information and audit tools from unauthorized access, modification, and deletion.
AU-9 — DCSA Supplemental Guidance
Audit information shall be handled and protected at the same security level of the information system from which it originated until reviewed and a determination is made of the actual classification. Recommended Continuous Monitoring Frequency: Quarterly
AU-9 — NIST 800-53 Supplemental Guidance
Audit information includes all information (e.g., audit records, audit settings, and audit reports) needed to successfully audit information system activity. This control focuses on technical protection of audit information. Physical protection of audit information is addressed by media protection controls and physical and environmental protection controls. Related controls: AC-3, AC-6, MP-2, MP-4, PE-2, PE-3, PE-6.
AU-9(2) — DAAPM Appendix A Control Verbiage
The information system backs up audit records at least weekly onto a physically different system or system component than the system or component being audited.
AU-9(2) — DCSA Supplemental Guidance
AU-9(2) — NIST 800-53 Supplemental Guidance
This control enhancement helps to ensure that a compromise of the information system being audited does not also result in a compromise of the audit records. Related controls: AU-4, AU-5, AU-11.
AU-9(4) — DAAPM Appendix A Control Verbiage
The organization authorizes access to management of audit functionality to only a small subset of privileged users.
AU-9(4) — DCSA Supplemental Guidance
Limiting the users with audit-related privileges helps to mitigate the risk of unauthorized access, modification, and deletion of audit information. This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Quarterly
AU-9(4) — NIST 800-53 Supplemental Guidance
Individuals with privileged access to an information system and who are also the subject of an audit by that system, may affect the reliability of audit information by inhibiting audit activities or modifying audit records. This control enhancement requires that privileged access be further defined between audit-related privileges and other privileges, thus limiting the users with audit-related privileges. Related control: AC-5.
AU-11 — DAAPM Appendix A Control Verbiage
The organization retains audit records for a minimum of 1 year or one inspection cycle whichever is greater to provide support for after-the-fact investigations of security incidents and to meet regulatory and organizational information retention requirements.
AU-11 — DCSA Supplemental Guidance
The purpose of audit retention is to provide support for after-the-fact investigations of security incidents and to meet regulatory and organization information retention requirements. Although most requests for audit information from law enforcement(LE) or inspectors general(IGs) are within the one year mark, audit records going back five years provide historic information that is frequently used in espionage cases for damage assessment purposes to determine what the(alleged) perpetrator may have accessed. Recommended Continuous Monitoring Frequency: Quarterly
AU-11 — NIST 800-53 Supplemental Guidance
Organizations retain audit records until it is determined that they are no longer needed for administrative, legal, audit, or other operational purposes. This includes, for example, retention and availability of audit records relative to Freedom of Information Act(FOIA) requests, subpoenas, and law enforcement actions. Organizations develop standard categories of audit records relative to such types of actions and standard response processes for each type of action. The National Archives and Records Administration(NARA) General Records Schedules provide federal policy on record retention. Related controls: AU-4, AU-5, AU-9, MP-6.
AU-11(1) — DAAPM Appendix A Control Verbiage
The organization employs retention of technology to access audit records for the duration of the required retention period to ensure that long-term audit records generated by the information system can be retrieved.
AU-11(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
AU-11(1) — NIST 800-53 Supplemental Guidance
Measures employed by organizations to help facilitate the retrieval of audit records include, for example, converting records to newer formats, retaining equipment capable of reading the records, and retaining necessary documentation to help organizational personnel understand how to interpret the records.
AU-12 — DAAPM Appendix A Control Verbiage
The information system: a. Provides audit record generation capability for the auditable events defined in AU-2 at all information systems and network components; b. Allows ISSM, ISSO, and designated personnel with audit related privileges to select which auditable events are to be audited by specific components of the information system; andc. Generates audit records for the audited events defined in AU-2 with the content defined in AU-3.
AU-12 — DCSA Supplemental Guidance
Please reference AU-2 Supplemental Guidance.This control supports insider threat mitigation.Recommended Continuous Monitoring Frequency: Quarterly
AU-12 — NIST 800-53 Supplemental Guidance
Audit records can be generated from many different information system components. The list of audited events is the set of events for which audits are to be generated. These events are typically a subset of all events for which the information system is capable of generating audit records. Related controls: AC-3, AU-2, AU-3, AU-6, AU-7.
AU-12(1) — DAAPM Appendix A Control Verbiage
The information system compiles audit records from information systems auditable devices into a system-wide(logical or physical) audit trail that is time-correlated to within the tolerance defined in AU-8 and the audit record generation defined in AU-12.
AU-12(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
AU-12(1) — NIST 800-53 Supplemental Guidance
Audit trails are time-correlated if the time stamps in the individual audit records can be reliably related to the time stamps in other audit records to achieve a time ordering of the records within organizational tolerances. Related controls: AU-8, AU-12.
AU-12(3) — DAAPM Appendix A Control Verbiage
The information system provides the capability for ISSM, ISSO, and designated personnel with audit related privileges to change the auditing to be performed on information system components based on program-defined selectable event criteria.
AU-12(3) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
AU-12(3) — NIST 800-53 Supplemental Guidance
This control enhancement enables organizations to extend or limit auditing as necessary to meet organizational requirements. Auditing that is limited to conserve information system resources may be extended to address certain threat situations. In addition, auditing may be limited to a specific set of events to facilitate audit reduction, analysis, and reporting. Organizations can establish time thresholds in which audit actions are changed, for example, near real-time, within minutes, or within hours. Related control: AU-7.
AU-14 — DAAPM Appendix A Control Verbiage
The information system provides the capability for authorized users to select an user session to capture/record or view/hear.
AU-14 — DCSA Supplemental Guidance
Verify system is capable of performing session audits, but do not initiate without legal counsel and AO involvement. This control may be used to audit file transfers of DTAs.
AU-14 — NIST 800-53 Supplemental Guidance
Session audits include, for example, monitoring keystrokes, tracking websites visited, and recording information and/or file transfers. Session auditing activities are developed, integrated, and used in consultation with legal counsel in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, or standards. Related controls: AC-3, AU-4, AU-5, AU-9, AU-11.
AU-14(1) — DAAPM Appendix A Control Verbiage
The information system initiates session audits at system start-up.
AU-14(1) — DCSA Supplemental Guidance
AU-14(1) — NIST 800-53 Supplemental Guidance
AU-14(2) — DAAPM Appendix A Control Verbiage
The information system provides the capability for authorized users to capture/record and log content related to a user session.
AU-14(2) — DCSA Supplemental Guidance
AU-14(2) — NIST 800-53 Supplemental Guidance
AU-16 — DAAPM Appendix A Control Verbiage
The organization employs program-defined methods for coordinating program-defined audit information among external organizations when audit information is transmitted across organizational boundaries.
AU-16 — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Quarterly
AU-16 — NIST 800-53 Supplemental Guidance
When organizations use information systems and/or services of external organizations, the auditing capability necessitates a coordinated approach across organizations. For example, maintaining the identity of individuals that requested particular services across organizational boundaries may often be very difficult, and doing so may prove to have significant performance ramifications. Therefore, it is often the case that cross-organizational auditing (e.g., the type of auditing capability provided by service-oriented architectures) simply captures the identity of individuals issuing requests at the initial information system, and subsequent systems record that the requests emanated from authorized individuals. Related control: AU-6.
AU-16(1) — DAAPM Appendix A Control Verbiage
The organization requires that the identity of individuals be preserved in cross organizational audit trails.
AU-16(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
AU-16(1) — NIST 800-53 Supplemental Guidance
This control enhancement applies when there is a need to be able to trace actions that are performed across organizational boundaries to a specific individual.
AU-16(2) — DAAPM Appendix A Control Verbiage
The organization provides cross-organizational audit information to specifically-identified organizations based on sharing agreements as identified in an ISA, SLA, or MOA.
AU-16(2) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
AU-16(2) — NIST 800-53 Supplemental Guidance
Because of the distributed nature of the audit information, cross-organization sharing of audit information may be essential for effective analysis of the auditing being performed. For example, the audit records of one organization may not provide sufficient information to determine the appropriate or inappropriate use of organizational information resources by individuals in other organizations. In some instances, only the home organizations of individuals have the appropriate knowledge to make such determinations, thus requiring the sharing of audit information among organizations.
CA-1 — DAAPM Appendix A Control Verbiage
The organization: a. Develops, documents, and disseminates to all personnel: 1. A security assessment and authorization policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and 2. Procedures to facilitate the implementation of the security assessment and authorization policy and associated security assessment and authorization controls; and b. Reviews and updates the current: 1. Security assessment and authorization policy Annually; and 2.Security assessment and authorization procedures at least Annually.
CA-1 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
CA-1 — NIST 800-53 Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures. Related control: PM-9.
CA-2 — DAAPM Appendix A Control Verbiage
The organization: a. Develops a security assessment plan that describes the scope of the assessment including: 1. Security controls and control enhancements under assessment; 2. Assessment procedures to be used to determine security control effectiveness; and 3. Assessment environment, assessment team, and assessment roles and responsibilities; b. Assesses the security controls in the information system and its environment of operation at least Annually, or as stipulated in the organization's continuous monitoring program to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements; c. Produces a security assessment report that documents the results of the assessment; and d. Provides the results of the security control assessment to the SCA and the AO Representative.
CA-2 — DCSA Supplemental Guidance
The initial security assessment is performed by the ISSM and determines the extent to which the security controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting the security requirements. A recurring security assessment is conducted as part of the continuous monitoring requirements to ensure the IS complies with the documented security requirements and that the security of the IS, as authorized, is maintained throughout its life cycle. Self-assessments will be routinely conducted by the ISSM. Security assessments may be routinely conducted as required. For the NISP and for all IS under the purview of the AO/AO Representative, the security assessment plan is embodied in the information provided in the System Security Plan which must be reviewed and approved by the AO. Information revealing specific vulnerabilities(other than the known vulnerabilities of widely available commercial products) and the compiled results of vulnerability analyses for all systems shall be classified in accordance with the Security Classification Guide(SCG). If not explicitly required, the result shall be considered unclassified. If the SCG describes vulnerabilities as classified, contact your AO-designated representative for handling instructions. Recommended Continuous Monitoring Frequency: Quarterly
CA-2 — NIST 800-53 Supplemental Guidance
Organizations assess security controls in organizational information systems and the environments in which those systems operate as part of: (i) initial and ongoing security authorizations; (ii) FISMA Annual assessments; (iii) continuous monitoring; and (iv) system development life cycle activities. Security assessments: (i) ensure that information security is built into organizational information systems; (ii) identify weaknesses and deficiencies early in the development process; (iii) provide essential information needed to make risk-based decisions as part of security authorization processes; and (iv) ensure compliance to vulnerability mitigation procedures. Assessments are conducted on the implemented security controls from Appendix F(main catalog) and Appendix G(Program Management controls) as documented in System Security Plans and Information Security Program Plans. Organizations can use other types of assessment activities such as vulnerability scanning and system monitoring to maintain the security posture of information systems during the entire life cycle. Security assessment reports document assessment results in sufficient detail as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the security controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting security requirements. The FISMA requirement for assessing security controls at least Annually does not require additional assessment activities to those activities already in place in organizational security authorization processes. Security assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of security authorization decisions are provided to authorizing officials or authorizing official designated representatives. To satisfy Annual assessment requirements, organizations can use assessment results from the following sources: (i) initial or ongoing information system authorizations; (ii) continuous monitoring; or (iii) system development life cycle activities. Organizations ensure that security assessment results are current, relevant to the determination of security control effectiveness, and obtained with the appropriate level of assessor independence. Existing security control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. Subsequent to initial authorizations and in accordance with OMB policy, organizations assess security controls during continuous monitoring. Organizations establish the frequency for ongoing security control assessments in accordance with organizational continuous monitoring strategies. Information Assurance Vulnerability Alerts provide useful examples of vulnerability mitigation procedures. External audits (e.g., audits by external entities such as regulatory agencies) are outside the scope of this control. Related controls: CA-5, CA-6, CA-7, PM-9, RA-5, SA-11, SA-12, SI-4.
CA-2(1) — DAAPM Appendix A Control Verbiage
The organization employs assessors or assessment teams with a level of independence as determined by the Authorizing Office to conduct security control assessments.
CA-2(1) — DCSA Supplemental Guidance
DSS meets this control. Recommended Continuous Monitoring Frequency: Annual
CA-2(1) — NIST 800-53 Supplemental Guidance
Independent assessors or assessment teams are individuals or groups who conduct impartial assessments of organizational information systems. Impartiality implies that assessors are free from any perceived or actual conflicts of interest with regard to the development, operation, or management of the organizational information systems under assessment or to the determination of security control effectiveness. To achieve impartiality, assessors should not: (i) create a mutual or conflicting interest with the organizations where the assessments are being conducted; (ii) assess their own work; (iii) act as management or employees of the organizations they are serving; or (iv) place themselves in positions of advocacy for the organizations acquiring their services. Independent assessments can be obtained from elements within organizations or can be contracted to public or private sector entities outside of organizations. Authorizing officials determine the required level of independence based on the security categories of information systems and/or the ultimate risk to organizational operations, organizational assets, or individuals. Authorizing officials also determine if the level of assessor independence provides sufficient assurance that the results are sound and can be used to make credible, risk-based decisions. This includes determining whether contracted security assessment services have sufficient independence, for example, when information system owners are not directly involved in contracting processes or cannot unduly influence the impartiality of assessors conducting assessments. In special situations, for example, when organizations that own the information systems are small or organizational structures require that assessments are conducted by individuals that are in the developmental, operational, or management chain of system owners, independence in assessment processes can be achieved by ensuring that assessment results are carefully reviewed and analyzed by independent teams of experts to validate the completeness, accuracy, integrity, and reliability of the results. Organizations recognize that assessments performed for purposes other than direct support to authorization decisions are, when performed by assessors with sufficient independence, more likely to be useable for such decisions, thereby reducing the need to repeat assessments.
CA-2(2) — DAAPM Appendix A Control Verbiage
The organization includes as part of security control assessments, [Assignment: organization-defined frequency], [Selection: announced; unannounced], [Selection (one or more): in-depth monitoring; vulnerability scanning; malicious user testing; insider threat assessment; performance/load testing; [Assignment: organization-defined other forms of security assessment</del>.
CA-2(2) — DCSA Supplemental Guidance
CA-2(2) — NIST 800-53 Supplemental Guidance
Organizations can employ information system monitoring, insider threat assessments, malicious user testing, and other forms of testing (e.g., verification and validation) to improve readiness by exercising organizational capabilities and indicating current performance levels as a means of focusing actions to improve security. Organizations conduct assessment activities in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Authorizing officials approve the assessment methods in coordination with the organizational risk executive function. Organizations can incorporate vulnerabilities uncovered during assessments into vulnerability remediation processes. Related controls: PE-3, SI-2.
CA-3 — DAAPM Appendix A Control Verbiage
The organization: a. Authorizes connections from the information system to other information systems through the use of Interconnection Security Agreements; b. Documents, for each interconnection, the interface characteristics, security requirements, and the nature of the information communicated; and c. Reviews and updates Interconnection Security Agreements Annually or if any major changes are made to the terms of the agreement.
CA-3 — DCSA Supplemental Guidance
Organizations shall identify any connections of an information system to an external information system in the SSP and ensure connections from the information system to external information systems are authorized through the use of an ISA. An external information system is an information system or component that is outside the authorization boundary as defined in the SSP.(Reference AC-20.) Organizations typically have no direct control over the security controls or security control effectiveness for these external systems or components. Organizations shall monitor all information system connections on an ongoing basis to verify enforcement of the security requirements. If the interconnecting systems have the same AO, an ISA is not required, although one may still be beneficial. When a need arises to connect two different IS operating at different security classification levels, the connection is referred to as a cross domain connection. Any cross domain connection must be identified first to the Service or Agency Cross Domain Support Element. All cross domain connections shall comply with the security controls identified STIG. The direct connection of any information system to an external network is prohibited. Direct connection means that an information system cannot connect to an external network without the use of an approved boundary protection device (e.g., firewall or cross domain device) that mediates the communication between the system and the network. Recommended Continuous Monitoring Frequency: Annual
CA-3 — NIST 800-53 Supplemental Guidance
This control applies to dedicated connections between information systems (i.e., system interconnections) and does not apply to transitory, user-controlled connections such as email and website browsing. Organizations carefully consider the risks that may be introduced when information systems are connected to other systems with different security requirements and security controls, both within organizations and external to organizations. Authorizing officials determine the risk associated with information system connections and the appropriate controls employed. If interconnecting systems have the same authorizing official, organizations do not need to develop Interconnection Security Agreements. Instead, organizations can describe the interface characteristics between those interconnecting systems in their respective security plans. If interconnecting systems have different authorizing officials within the same organization, organizations can either develop Interconnection Security Agreements or describe the interface characteristics between systems in the security plans for the respective systems. Organizations may also incorporate Interconnection Security Agreement information into formal contracts, especially for interconnections established between federal agencies and nonfederal (i.e., private sector) organizations. Risk considerations also include information systems sharing the same networks. For certain technologies (e.g., space, unmanned aerial vehicles, and medical devices), there may be specialized connections in place during preoperational testing. Such connections may require Interconnection Security Agreements and be subject to additional security controls. Related controls: AC-3, AC-4, AC-20, AU-2, AU-12, AU-16, CA-7, IA-3, SA-9, SC-7, SI-4.
CA-3(5) — DAAPM Appendix A Control Verbiage
The organization employs deny-all, permit-by-exception policy for allowing all to connect to external information systems.
CA-3(5) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
CA-3(5) — NIST 800-53 Supplemental Guidance
Organizations can constrain information system connectivity to external domains (e.g., websites) by employing one of two policies with regard to such connectivity: (i) allow-all, deny by exception, also known as blacklisting(the weaker of the two policies); or (ii) deny-all, allow by exception, also known as whitelisting(the stronger of the two policies). For either policy, organizations determine what exceptions, if any, are acceptable. Related control: CM-7.
CA-5 — DAAPM Appendix A Control Verbiage
The organization: a. Develops a plan of action and milestones for the information system to document the organization's planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls and to reduce or eliminate known vulnerabilities in the system; and b. Updates existing plan of action and milestones as required by the AO and based on the findings from security controls assessments, security impact analyses, and continuous monitoring activities.
CA-5 — DCSA Supplemental Guidance
POA&Ms are the authoritative management tool used by the organization (including the AO, SCA) to detail specific program and system level security weaknesses, remediation needs, the resources required to implement the plan, and scheduled completion dates. The POA&M is initiated based on vulnerabilities and recommendations from the SAR, or as a minimum, providing that information via the SAR to the ISSM. The ISSM shall describe the planned tasks for correcting weaknesses and addressing any residual vulnerability. The POA&M shall identify: a. Tasks to be accomplished with a recommendation for completion either before or after information system implementation. b. Resources required accomplishing the tasks. c. Any milestones in meeting the tasks, to include percentage completed. d. Scheduled completion dates for the milestones. e. Status of tasks(completed, ongoing, delayed, planned). The POA&M is used by the AO and SCA to monitor the progress in mitigating any vulnerabilities. POA&M entries are required even when weaknesses or deficiencies are remediated during the assessment or prior to the submission of the authorization package to the AO. A POA&M template is available via the RMF Knowledge Service(https:rmfks.osd.mil/rmf/general/SecAuthPackage/Pages/POAM.aspx). The RMF Knowledge Service POA&M Template is accepted in eMASS for bulk upload and/or updates. Recommended Continuous Monitoring Frequency: Quarterly
CA-5 — NIST 800-53 Supplemental Guidance
Plans of action and milestones are key documents in security authorization packages and are subject to federal reporting requirements established by OMB. Related controls: CA-2, CA-7, CM-4, PM-4.
CA-6 — DAAPM Appendix A Control Verbiage
The organization: a. Assigns a senior-level executive or manager as the authorizing official for the information system; b. Ensures that the authorizing official authorizes the information system for processing before commencing operations; and c. Updates the security authorization at least every three years, whenever there is a significant change to the system, or if there is a change to the environment in which the system operates
CA-6 — DCSA Supplemental Guidance
DSS will assign the Authorizing Official(AO). Recommended Continuous Monitoring Frequency: Annual
CA-6 — NIST 800-53 Supplemental Guidance
Security authorizations are official management decisions, conveyed through authorization decision documents, by senior organizational officials or executives (i.e., authorizing officials) to authorize operation of information systems and to explicitly accept the risk to organizational operations and assets, individuals, other organizations, and the Nation based on the implementation of agreed-upon security controls. Authorizing officials provide budgetary oversight for organizational information systems or assume responsibility for the mission/business operations supported by those systems. The security authorization process is an inherently federal responsibility and therefore, authorizing officials must be federal employees. Through the security authorization process, authorizing officials assume responsibility and are accountable for security risks associated with the operation and use of organizational information systems. Accordingly, authorizing officials are in positions with levels of authority commensurate with understanding and accepting such information security-related risks. OMB policy requires that organizations conduct ongoing authorizations of information systems by implementing continuous monitoring programs. Continuous monitoring programs can satisfy three-year reauthorization requirements, so separate reauthorization processes are not necessary. Through the employment of comprehensive continuous monitoring processes, critical information contained in authorization packages (i.e., security plans, security assessment reports, and plans of action and milestones) is updated on an ongoing basis, providing authorizing officials and information system owners with an up-to-date status of the security state of organizational information systems and environments of operation. To reduce the administrative cost of security reauthorization, authorizing officials use the results of continuous monitoring processes to the maximum extent possible as the basis for rendering reauthorization decisions. Related controls: CA-2, CA-7, PM-9, PM-10.
CA-7 — DAAPM Appendix A Control Verbiage
The organization develops a continuous monitoring strategy and implements a continuous monitoring program that includes: a. Establishment of IA controls and metrics to be monitored; b. Establishment of a monitoring frequency as defined in the SSP for each security control; c. Ongoing security control assessments in accordance with the organizational continuous monitoring strategy; d. Ongoing security status monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy; e. Correlation and analysis of security-related information generated by assessments and monitoring; f. Response actions to address results of the analysis of security-related information; and g. Reporting the security status of organization and the information system to appropriate organizational officials at least Annually, or whenever there is a significant change to the system or the environment in which the system operates.
CA-7 — DCSA Supplemental Guidance
Continuous monitoring of security controls using automated support tools (e.g. SCAP with associated benchmarks conducted Quarterly) facilitates near real-time risk management and promotes organizational situational awareness with regard to the security state of the information system. The ultimate objective of continuous monitoring is to achieve a state of ongoing authorization where the AO maintains sufficient knowledge of the current security state of the information systems under their purview (including the effectiveness of the security controls employed within and inherited by the system). This information is used to determine whether continued operation maintains an acceptable level of risk in accordance with the AO. If a formal reauthorization action is required, the organization maximizes the use of security and risk-related information produced during the continuous monitoring and ongoing authorization processes. Continuous monitoring assists organizations with ongoing updates to SSPs and POA&Ms and minimizes the level of effort required for subsequent security assessment activities. Recommended Continuous Monitoring Frequency: Annual
CA-7 — NIST 800-53 Supplemental Guidance
Continuous monitoring programs facilitate ongoing awareness of threats, vulnerabilities, and information security to support organizational risk management decisions. The terms continuous and ongoing imply that organizations assess/analyze security controls and information security-related risks at a frequency sufficient to support organizational risk-based decisions. The results of continuous monitoring programs generate appropriate risk response actions by organizations. Continuous monitoring programs also allow organizations to maintain the security authorizations of information systems and common controls over time in highly dynamic environments of operation with changing mission/business needs, threats, vulnerabilities, and technologies. Having access to security-related information on a continuing basis through reports/dashboards gives organizational officials the capability to make more effective and timely risk management decisions, including ongoing security authorization decisions. Automation supports more frequent updates to security authorization packages, hardware/software/firmware inventories, and other system information. Effectiveness is further enhanced when continuous monitoring outputs are formatted to provide information that is specific, measurable, actionable, relevant, and timely. Continuous monitoring activities are scaled in accordance with the security categories of information systems. Related controls: CA-2, CA-5, CA-6, CM-3, CM-4, PM-6, PM-9, RA-5, SA-11, SA-12, SI-2, SI-4.
CA-7(1) — DAAPM Appendix A Control Verbiage
The organization employs assessors or assessment teams with a level of independence as determined by the ISSM to monitor the security controls in the information system on an ongoing basis.
CA-7(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
CA-7(1) — NIST 800-53 Supplemental Guidance
Organizations can maximize the value of assessments of security controls during the continuous monitoring process by requiring that such assessments be conducted by assessors or assessment teams with appropriate levels of independence based on continuous monitoring strategies. Assessor independence provides a degree of impartiality to the monitoring process. To achieve such impartiality, assessors should not: (i) create a mutual or conflicting interest with the organizations where the assessments are being conducted; (ii) assess their own work; (iii) act as management or employees of the organizations they are serving; or (iv) place themselves in advocacy positions for the organizations acquiring their services.
CA-9 — DAAPM Appendix A Control Verbiage
The organization: a. Authorizes internal connections of information system components to the information system; and b. Documents, for each internal connection, the interface characteristics, security requirements, and the nature of the information communicated.
CA-9 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
CA-9 — NIST 800-53 Supplemental Guidance
This control applies to connections between organizational information systems and(separate) constituent system components (i.e., intra-system connections) including, for example, system connections with mobile devices, notebook/desktop computers, printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of authorizing each individual internal connection, organizations can authorize internal connections for a class of components with common characteristics and/or configurations, for example, all digital printers, scanners, and copiers with a specified processing, storage, and transmission capability or all smart phones with a specific baseline configuration. Related controls: AC-3, AC-4, AC-18, AC-19, AU-2, AU-12, CA-7, CM-2, IA-3, SC-7, SI-4.
CM-1 — DAAPM Appendix A Control Verbiage
The organization: a. Develops, documents, and disseminates to all stakeholders in the configuration management process: 1. A configuration management policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and 2. Procedures to facilitate the implementation of the configuration management policy and associated configuration management controls; and b. Reviews and updates the current: 1. Configuration management policy Annually; and 2. Configuration management procedures Annually.
CM-1 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
CM-1 — NIST 800-53 Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CM family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures. Related control: PM-9.
CM-2 — DAAPM Appendix A Control Verbiage
The organization develops, documents, and maintains under configuration control, a current baseline configuration of the information system.
CM-2 — DCSA Supplemental Guidance
Baseline configuration includes the documentation required in CM-6 (including configuration settings and hardening applied to the system and software), CM-7 (including requirements for whitelisting software) and CM-8 (hardware inventory). Recommended Continuous Monitoring Frequency: Annual
CM-2 — NIST 800-53 Supplemental Guidance
This control establishes baseline configurations for information systems and system components including communications and connectivity-related aspects of systems. Baseline configurations are documented, formally reviewed and agreed-upon sets of specifications for information systems or configuration items within those systems. Baseline configurations serve as a basis for future builds, releases, and/or changes to information systems. Baseline configurations include information about information system components (e.g., standard software packages installed on workstations, notebook computers, servers, network components, or mobile devices; current version numbers and patch information on operating systems and applications; and configuration settings/parameters), network topology, and the logical placement of those components within the system architecture. Maintaining baseline configurations requires creating new baselines as organizational information systems change over time. Baseline configurations of information systems reflect the current enterprise architecture. Related controls: CM-3, CM-6, CM-8, CM-9, SA-10, PM-5, PM-7.
CM-2(1) — DAAPM Appendix A Control Verbiage
The organization reviews and updates the baseline configuration of the information system: (a) At least Annually; (b) When required due to baseline configuration changes or as events dictate modification of the security structure; and (1) Operating system changes. (2) Major software version upgrade. (3) Addition to servers. (4) Modification to system ports protocols and services(PPS). (5) Major vulnerabilities discovered after assessment and/or authorization. (6) Changes to the confidentiality, integrity, or availability requirements (7) Changes in system encryption methods. (8) Changes in interconnections. (9) Changes to operating environment (10) Significant increased threat increasing the organization/sites residual risk. Minor and non-security relevant hardware and software changes to information systems do not require assessment retesting. These upgrades require an administrative update to the SSP. Examples of changes that only require administrative updates include: (a) Non-security relevant software version updates and/or upgrades. (b) Addition of identical workstation type with approved image to an authorized system. (c) Replacement of failed servers/system components with identical spares (d) Replacement of hardware drives/tape back-up. and (c) As an integral part of information system component installations and upgrades.
CM-2(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
CM-2(3) — DAAPM Appendix A Control Verbiage
The organization retains at least two previous versions of baseline configurations of the information system to support rollback.
CM-2(3) — DCSA Supplemental Guidance
CM-2(3) — NIST 800-53 Supplemental Guidance
Retaining previous versions of baseline configurations to support rollback may include, for example, hardware, software, firmware, configuration files, and configuration records.
CM-3 — DAAPM Appendix A Control Verbiage
The organization: a. Determines the types of changes to the information system that are configuration-controlled; b. Reviews proposed configuration-controlled changes to the information system and approves or disapproves such changes with explicit consideration for security impact analyses; c. Documents configuration change decisions associated with the information system; d. Implements approved configuration-controlled changes to the information system; e. Retains records of configuration-controlled changes to the information system for the life of the system; f. Audits and reviews activities associated with configuration-controlled changes to the information system; and g. Coordinates and provides oversight for configuration change control activities through the establishment of a group of individuals with the collective responsibility and authority to review and approve proposed changes to the IS that convenes as defined in the local SSP and when there is a significant change to the system or the environment in which the system operates.
CM-3 — DCSA Supplemental Guidance
When feasible, a Configuration Control Board(CCB) acts as a check and balance on configuration change activity, assuring that proposed changes are held to organizationally defined criteria (e.g., scope, cost, impact on security) before being implemented. A CCB can be as big or small as it needs to be for the information system environment that it supports. Since the ISSM is responsible for halting practices dangerous to security, the ISSM shall have authority to veto any proposed change he/she believes to be detrimental to security. In cases of disagreement, the change shall be postponed while the ISO or ISSM contacts the AO's office for resolution. Modifying, relocating, or reconfiguring the hardware of any computer system must be approved by the CCB for each site. Hardware will not be connected to any system/network without the express written consent of the ISSM/ISSO and the CCB. Modifying, installing, or downloading any software on any computer system may affect system authorization and must be evaluated and approved by the ISSM/ISSO with the local CCB. All hardware and software changes to IS must go through a configuration change control process. Configuration change control is the documented process for managing and controlling changes to the configuration of an IS. Security Relevant: any hardware or software that is "security enforcing," "security supporting," or "security non-interfering" which can affect an IS's configuration, functionality, or users' privileges, and has the potential to change the risk imposed on the IS. a. Security Enforcing - Operating System(OS), access control applications, audit applications, device control applications, second party applications that perform IA, account management, anti-virus, firewall; capable of making changes to the security substructure of the system: modifies a user's account or changes permissions on objects such as enforcing DAC, Mandatory Access Control(MAC), Network Access Control(NAC). b. Security Supporting - Impacts a security process or procedures: e.g., software used to perform technical review for AFT; software that is only used by privileged users of the system in the performance of their duties; removing a backup server which may affect availability; code or script that authenticates the user and determines authorization. c. Security Non-Interfering - Does not enforce or support any aspect of the system security policy, but due to its presence inside the security boundary, e.g., code running a privileged hardware mode within the OS, risk is elevated. Minor and non-security relevant hardware and software changes to information systems do not require assessment retesting. These upgrades require an administrative update to the SSP. If in doubt on the significance of a change, the SCA shall be contacted to determine whether a change is significant. Significant security-relevant changes will require assessment and may require re-authorization of the information system. A concept of operations or revised SSP will be submitted to the AO for authorization outlining the implementation and assessment process. Documented AO authorization is required prior to implementing a security-relevant change. Recommended Continuous Monitoring Frequency: Annual
CM-3 — NIST 800-53 Supplemental Guidance
Configuration change controls for organizational information systems involve the systematic proposal, justification, implementation, testing, review, and disposition of changes to the systems, including system upgrades and modifications. Configuration change control includes changes to baseline configurations for components and configuration items of information systems, changes to configuration settings for information technology products (e.g., operating systems, applications, firewalls, routers, and mobile devices), unscheduled/unauthorized changes, and changes to remediate vulnerabilities. Typical processes for managing configuration changes to information systems include, for example, Configuration Control Boards that approve proposed changes to systems. For new development information systems or systems undergoing major upgrades, organizations consider including representatives from development organizations on the Configuration Control Boards. Auditing of changes includes activities before and after changes are made to organizational information systems and the auditing activities required to implement such changes. Related controls: CA-7, CM-2, CM-4, CM-5, CM-6, CM-9, SA-10, SI-2, SI-12.
CM-3(4) — DAAPM Appendix A Control Verbiage
The organization requires an information security representative to be a member of the CCB.
CM-3(4) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
CM-3(4) — NIST 800-53 Supplemental Guidance
Information security representatives can include, for example, senior agency information security officers, information system security officers, or information system security managers. Representation by personnel with information security expertise is important because changes to information system configurations can have unintended side effects, some of which may be security-relevant. Detecting such changes early in the process can help avoid unintended, negative consequences that could ultimately affect the security state of organizational information systems. The configuration change control element in this control enhancement reflects the change control elements defined by organizations in CM-3.
CM-3(6) — DAAPM Appendix A Control Verbiage
The organization ensures that cryptographic mechanisms used to provide security safeguards are under configuration management.
CM-3(6) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
CM-3(6) — NIST 800-53 Supplemental Guidance
Regardless of the cryptographic means employed (e.g., public key, private key, shared secrets), organizations ensure that there are processes and procedures in place to effectively manage those means. For example, if devices use certificates as a basis for identification and authentication, there needs to be a process in place to address the expiration of those certificates. Related control: SC-13.
CM-4 — DAAPM Appendix A Control Verbiage
The organization analyzes changes to the information system to determine potential security impacts prior to change implementation.
CM-4 — DCSA Supplemental Guidance
The organization must maintain records of analysis of changes to the information system. Security impact analysis is the deliberate consideration of the impact of a change on the security state of the information system. IS are typically in a constant state of change. It is important to understand the impact of changes on the functionality of existing security controls. Security impact analysis must be incorporated into the documented configuration change control process. The ISSM/ISSO shall be involved in determining if a configuration change has a security impact. Systems with moderate and high integrity are required to have a test environment. Integrity low systems should consider impact of the change to their operational environment and ensure the change is implemented in the least disruptive manner. If the security impact analysis results in significant security-relevant changes, documented approval is required from the AO in accordance with CM-3. Recommended Continuous Monitoring Frequency: Annual
CM-4 — NIST 800-53 Supplemental Guidance
Organizational personnel with information security responsibilities (e.g., Information System Administrators, Information System Security Officers, Information System Security Managers, and Information System Security Engineers) conduct security impact analyses. Individuals conducting security impact analyses possess the necessary skills/technical expertise to analyze the changes to information systems and the associated security ramifications. Security impact analysis may include, for example, reviewing security plans to understand security control requirements and reviewing system design documentation to understand control implementation and how specific changes might affect the controls. Security impact analyses may also include assessments of risk to better understand the impact of the changes and to determine if additional security controls are required. Security impact analyses are scaled in accordance with the security categories of the information systems. Related controls: CA-2, CA-7, CM-3, CM-9, SA-4, SA-5, SA-10, SI-2.
CM-4(1) — DAAPM Appendix A Control Verbiage
The organization analyzes changes to the information system in a separate test environment before implementation in an operational environment, looking for security impacts due to flaws, weaknesses, incompatibility, or intentional malice.
CM-4(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
CM-4(1) — NIST 800-53 Supplemental Guidance
Separate test environment in this context means an environment that is physically or logically isolated and distinct from the operational environment. The separation is sufficient to ensure that activities in the test environment do not impact activities in the operational environment, and information in the operational environment is not inadvertently transmitted to the test environment. Separate environments can be achieved by physical or logical means. If physically separate test environments are not used, organizations determine the strength of mechanism required when implementing logical separation (e.g., separation achieved through virtual machines). Related controls: SA-11, SC-3, SC-7.
CM-5 — DAAPM Appendix A Control Verbiage
The organization defines, documents, approves, and enforces physical and logical access restrictions associated with changes to the information system.
CM-5 — DCSA Supplemental Guidance
Organizations are responsible for conducting scans or audits to validate configuration changes were implemented as intended and for supporting after-the-fact actions if unauthorized changes to the IS are detected. This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Annual
CM-5 — NIST 800-53 Supplemental Guidance
Any changes to the hardware, software, and/or firmware components of information systems can potentially have significant effects on the overall security of the systems. Therefore, organizations permit only qualified and authorized individuals to access information systems for purposes of initiating changes, including upgrades and modifications. Organizations maintain records of access to ensure that configuration change control is implemented and to support after-the-fact actions should organizations discover any unauthorized changes. Access restrictions for change also include software libraries. Access restrictions include, for example, physical and logical access controls (see AC-3 and PE-3),workflow automation, media libraries, abstract layers (e.g., changes implemented into third-party interfaces rather than directly into information systems), and change windows (e.g., changes occur only during specified times, making unauthorized changes easy to discover). Related controls: AC-3, AC-6, PE-3.
CM-5(5) — DAAPM Appendix A Control Verbiage
The organization: (a) Limits privileges to change information system components and system-related information within a production or operational environment; and (b) Reviews and reevaluates privileges at least Annually.
CM-5(5) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
CM-5(5) — NIST 800-53 Supplemental Guidance
In many organizations, information systems support multiple core missions/business functions. Limiting privileges to change information system components with respect to operational systems is necessary because changes to a particular information system component may have far-reaching effects on mission/business processes supported by the system where the component resides. The complex, many-to-many relationships between systems and mission/business processes are in some cases, unknown to developers. Related control: AC-2.
CM-5(6) — DAAPM Appendix A Control Verbiage
The organization limits privileges to change software resident within software libraries.
CM-5(6) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
CM-5(6) — NIST 800-53 Supplemental Guidance
Software libraries include privileged programs. Related control: AC-2.
CM-6 — DAAPM Appendix A Control Verbiage
The organization: a. Establishes and documents configuration settings for information technology products employed within the information system using security configuration or implementation guidance that reflect the most restrictive mode consistent with operational requirements; b. Implements the configuration settings; c. Identifies, documents, and approves any deviations from established configuration settings for IS components based on Authorized System Security Plan; and d. Monitors and controls changes to the configuration settings in accordance with organizational policies and procedures.
CM-6 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Semi-Annual
CM-6 — NIST 800-53 Supplemental Guidance
Configuration settings are the set of parameters that can be changed in hardware, software, or firmware components of the information system that affect the security posture and/or functionality of the system. Information technology products for which security-related configuration settings can be defined include, for example, mainframe computers, servers (e.g., database, electronic mail, authentication, web, proxy, file, domain name), workstations, input/output devices (e.g., scanners, copiers, and printers), network components (e.g., firewalls, routers, gateways, voice and data switches, wireless access points, network appliances, sensors), operating systems, middleware, and applications. Security-related parameters are those parameters impacting the security state of information systems including the parameters required to satisfy other security control requirements. Security-related parameters include, for example: (i) registry settings; (ii) account, file, directory permission settings; and (iii) settings for functions, ports, protocols, services, and remote connections. Organizations establish organization-wide configuration settings and subsequently derive specific settings for information systems. The established settings become part of the systems configuration baseline. Common secure configurations (also referred to as security configuration checklists, lockdown and hardening guides, security reference guides, security technical implementation guides) provide recognized, standardized, and established benchmarks that stipulate secure configuration settings for specific information technology platforms/products and instructions for configuring those information system components to meet operational requirements. Common secure configurations can be developed by a variety of organizations including, for example, information technology product developers, manufacturers, vendors, consortia, academia, industry, federal agencies, and other organizations in the public and private sectors. Common secure configurations include the United States Government Configuration Baseline(USGCB) which affects the implementation of CM-6 and other controls such as AC-19 and CM-7.The Security Content Automation Protocol (SCAP) and the defined standards within the protocol (e.g., Common Configuration Enumeration) provide an effective method to uniquely identify, track, and control configuration settings. OMB establishes federal policy on configuration requirements for federal information systems. Related controls: AC-19, CM-2, CM-3, CM-7, SI-4.
CM-7 — DAAPM Appendix A Control Verbiage
The organization: a. Configures the information system to provide only essential capabilities; and b. Prohibits or restricts the use of the following functions, ports, protocols, and/or services: using least functionality. Ports will be denied access by default, and allow access by exception as documented in the System Security Plan.
CM-7 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Semi-Annual
CM-7 — NIST 800-53 Supplemental Guidance
Information systems can provide a wide variety of functions and services. Some of the functions and services, provided by default, may not be necessary to support essential organizational operations (e.g., key missions, functions). Additionally, it is sometimes convenient to provide multiple services from single information system components, but doing so increases risk over limiting the services provided by any one component. Where feasible, organizations limit component functionality to a single function per device (e.g., email servers or web servers, but not both). Organizations review functions and services provided by information systems or individual components of information systems, to determine which functions and services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant Messaging, auto-execute, and file sharing). Organizations consider disabling unused or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to prevent unauthorized connection of devices, unauthorized transfer of information, or unauthorized tunneling. Organizations can utilize network scanning tools, intrusion detection and prevention systems, and end-point protections such as firewalls and host-based intrusion detection systems to identify and prevent the use of prohibited functions, ports, protocols, and services. Related controls: AC-6, CM-2, RA-5, SA-5, SC-7.
CM-7(1) — DAAPM Appendix A Control Verbiage
The organization:
(a) Reviews the information system as identified in the authorized SSP to identify unnecessary and/or nonsecure functions, ports, protocols, and services; and
(b) Disables ports, protocols, and services within the information system deemed to be unnecessary(documented in the SSP CM-7).
CM-7(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Semi-Annual
CM-7(1) — NIST 800-53 Supplemental Guidance
The organization can either make a determination of the relative security of the function, port, protocol, and/or service or base the security decision on the assessment of other entities. Bluetooth, FTP, and peer-to-peer networking are examples of less than secure protocols. Related controls: AC-18, CM-7, IA-2.
CM-7(2) — DAAPM Appendix A Control Verbiage
The information system prevents program execution by disabling or uninstalling unused/unnecessary OS functionality, protocols, ports, and services, and limiting the software that can be installed and the functionality of that software.
CM-7(2) — DCSA Supplemental Guidance
Organizations shall configure information systems and components to disable the capability for automatic execution of code (e.g. Auto Run, AutoPlay). Systems prevent program execution from organizationally specific locations: (e.g., removable media, temporary directory, a shared network drive, etc.). This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Semi-Annual
CM-7(5) — DAAPM Appendix A Control Verbiage
The organization: (a) Identifies, develops, and maintains an approved software list to execute on the information system. (Change to this list is managed within CM-3.); (b) Employs a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the information system; and (c) Reviews and updates the list of authorized software programs at least Quarterly and updates as required.
CM-7(5) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
CM-7(5) — NIST 800-53 Supplemental Guidance
The process used to identify software programs that are authorized to execute on organizational information systems is commonly referred to as whitelisting. In addition to whitelisting, organizations consider verifying the integrity of white-listed software programs using, for example, cryptographic checksums, digital signatures, or hash functions. Verification of white-listed software can occur either prior to execution or at system startup. Related controls: CM-2, CM-6, CM-8, PM-5, SA-10, SC-34, SI-7.
CM-8 — DAAPM Appendix A Control Verbiage
The organization: a. Develops and documents an inventory of information system components that: 1. Accurately reflects the current information system; 2. Includes all components within the authorization boundary of the information system; 3. Is at the level of granularity deemed necessary for tracking and reporting; and 4. Includes a local hardware list providing as a minimum, type, make, model, quantity, serial number; and b. Reviews and updates the information system component inventory at least Annually.
CM-8 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
CM-8 — NIST 800-53 Supplemental Guidance
Organizations may choose to implement centralized information system component inventories that include components from all organizational information systems. In such situations, organizations ensure that the resulting inventories include system-specific information required for proper component accountability (e.g., information system association, information system owner). Information deemed necessary for effective accountability of information system components includes, for example, hardware inventory specifications, software license information, software version numbers, component owners, and for networked components or devices, machine names and network addresses. Inventory specifications include, for example, manufacturer, device type, model, serial number, and physical location. Related controls: CM-2, CM-6, PM-5.
CM-8(2) — DAAPM Appendix A Control Verbiage
The organization employs automated mechanisms to help maintain an up-to-date, complete, accurate, and readily available inventory of information system components.
CM-8(2) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Semi-Annual
CM-8(2) — NIST 800-53 Supplemental Guidance
Organizations maintain information system inventories to the extent feasible. Virtual machines, for example, can be difficult to monitor because such machines are not visible to the network when not in use. In such cases, organizations maintain as up-to-date, complete, and accurate an inventory as is deemed reasonable. This control enhancement can be satisfied by the implementation of CM-2(2) for organizations that choose to combine information system component inventory and baseline configuration activities. Related control: SI-7.
CM-8(3) — DAAPM Appendix A Control Verbiage
The organization, when required: (a) Employs automated mechanisms continuously to detect the presence of unauthorized hardware, software, and firmware components within the information system; and (b) Takes the following actions when unauthorized components are detected: Documents and implements a process to take action to disable network access by unauthorized software, hardware, and firmware components, isolate the components, and/or notify the ISSO and ISSM and others as the local organization deems appropriate. The organization must maintain an audit trail of actions taken upon detection of unauthorized software, hardware, and firmware components.
CM-8(3) — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Annual
CM-8(3) — NIST 800-53 Supplemental Guidance
This control enhancement is applied in addition to the monitoring for unauthorized remote connections and mobile devices. Monitoring for unauthorized system components may be accomplished on an ongoing basis or by the periodic scanning of systems for that purpose. Automated mechanisms can be implemented within information systems or in other separate devices. Isolation can be achieved, for example, by placing unauthorized information system components in separate domains or subnets or otherwise quarantining such components. This type of component isolation is commonly referred to as sandboxing. Related controls: AC-17, AC-18, AC-19, CA-7, SI-3, SI-4, SI-7, RA-5.
CM-9 — DAAPM Appendix A Control Verbiage
The organization develops, documents, and implements a configuration management plan for the information system that: a. Addresses roles, responsibilities, and configuration management processes and procedures; b. Establishes a process for identifying configuration items throughout the system development life cycle and for managing the configuration of the configuration items; c. Defines the configuration items for the information system and places the configuration items under configuration management; and d. Protects the configuration management plan from unauthorized disclosure and modification.
CM-9 — DCSA Supplemental Guidance
A Configuration Management Plan is a comprehensive description of the roles, responsibilities, policies, and procedures that apply when managing the configuration of products and systems. Organizations are responsible for developing a CM Plan for all information systems under their purview. The plan must define CM roles, responsibilities, processes and procedures. It must further define the configuration items for the IS and establish a process for managing the configuration of the configuration items throughout the system development life cycle. ISO responsibilities include: a. Documenting the CM process when new IS are under development, being procured, or delivered for operation. An integral part of CM is the System Authorization process. Therefore, it is imperative that AOs or designees be advised of CM decisions. This will ensure systems are fielded or modified within acceptable risk parameters and the latest security technology is being incorporated into system designs. ISSM responsibilities include: a. Ensuring development and implementation of procedures in accordance with CM policies and procedures for authorizing the use of hardware/software on an IS; b. Ensuring all additions, changes or modifications to hardware, software, or firmware are documented and that security relevant changes are coordinated, via the SCA, with the AO or appropriately delegated individual; and c. Serving as a voting member on the CCB. Recommended Continuous Monitoring Frequency: Annual
CM-9 — NIST 800-53 Supplemental Guidance
Configuration management plans satisfy the requirements in configuration management policies while being tailored to individual information systems. Such plans define detailed processes and procedures for how configuration management is used to support system development life cycle activities at the information system level. Configuration management plans are typically developed during the development/acquisition phase of the system development life cycle. The plans describe how to move changes through change management processes, how to update configuration settings and baselines, how to maintain information system component inventories, how to control development, test, and operational environments, and how to develop, release, and update key documents. Organizations can employ templates to help ensure consistent and timely development and implementation of configuration management plans. Such templates can represent a master configuration management plan for the organization at large with subsets of the plan implemented on a system by system basis. Configuration management approval processes include designation of key management stakeholders responsible for reviewing and approving proposed changes to information systems, and personnel that conduct security impact analyses prior to the implementation of changes to the systems. Configuration items are the information system items(hardware, software, firmware, and documentation) to be configuration-managed. As information systems continue through the system development life cycle, new configuration items may be identified and some existing configuration items may no longer need to be under configuration control. Related controls: CM-2, CM-3, CM-4, CM-5, CM-8, SA-10.
CM-10 — DAAPM Appendix A Control Verbiage
The organization: a. Uses software and associated documentation in accordance with contract agreements and copyright laws; b. Tracks the use of software and associated documentation protected by quantity licenses to control copying and distribution; and c. Controls and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.
CM-10 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
CM-10 — NIST 800-53 Supplemental Guidance
Software license tracking can be accomplished by manual methods (e.g., simple spreadsheets) or automated methods (e.g., specialized tracking applications) depending on organizational needs. Related controls: AC-17, CM-8, SC-7.
CM-10(1) — DAAPM Appendix A Control Verbiage
The organization establishes the following restrictions on the use of open source software: Open source software may only be used if authorized by the AO and the organization meets all licensing issues associated with the software.
CM-10(1) — DCSA Supplemental Guidance
Documentation must be provided in the System Security Plan to identify the overall need for the open source software and any additional mitigations to address the increase in risk. The overall need for open source software should also be included in your Risk Assessment Report(RAR) so that both the need for the software and any additional mitigations can be highlighted in order to provide the appropriate level of visibility. Recommended Continuous Monitoring Frequency: Annual
CM-10(1) — NIST 800-53 Supplemental Guidance
Open source software refers to software that is available in source code form. Certain software rights normally reserved for copyright holders are routinely provided under software license agreements that permit individuals to study, change, and improve the software. From a security perspective, the major advantage of open source software is that it provides organizations with the ability to examine the source code. However, there are also various licensing issues associated with open source software including, for example, the constraints on derivative use of such software.
CM-11 — DAAPM Appendix A Control Verbiage
The organization: a. Establishes policies governing the installation of software by users; b. Enforces software installation policies through documented message detailed in the authorized SSP; and c. Monitors policy compliance Quarterly.
CM-11 — DCSA Supplemental Guidance
CM-11 — NIST 800-53 Supplemental Guidance
If provided the necessary privileges, users have the ability to install software in organizational information systems. To maintain control over the types of software installed, organizations identify permitted and prohibited actions regarding software installation. Permitted software installations may include, for example, updates and security patches to existing software and downloading applications from organization-approved app stores. Prohibited software installations may include, for example, software with unknown or suspect pedigrees or software that organizations consider potentially malicious. The policies organizations select governing user-installed software may be organization-developed or provided by some external entity. Policy enforcement methods include procedural methods (e.g., periodic examination of user accounts), automated methods (e.g., configuration settings implemented on organizational information systems), or both. Related controls: AC-3, CM-2, CM-3, CM-5, CM-6, CM-7, PL-4.
CM-11(2) — DAAPM Appendix A Control Verbiage
The information system prohibits user installation of software without explicit privileged status.
CM-11(2) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
CM-11(2) — NIST 800-53 Supplemental Guidance
Privileged status can be obtained, for example, by serving in the role of system administrator. Related control: AC-6.
CP-1 — DAAPM Appendix A Control Verbiage
The organization: a. Develops, documents, and disseminates to all stakeholders 1. A contingency planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and 2. Procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls; and b. Reviews and updates the current: 1. Contingency planning policy at least Annually; and 2. Contingency planning procedures at least Annually.
CP-1 — DCSA Supplemental Guidance
Although NISPOM 8-302.c states that When contractually required, contractors will establish, maintain, and effectively implement plans for emergency response, backup operations, and post-disaster recovery operations for ISs..., Industry is still required to acknowledge the CP family of security controls and determine whether or not they are applicable based on contractual requirements and the Risk Assessment. If applicable, an artifact should be provided verifying that there is no contractual need for contingency planning. Recommended Continuous Monitoring Frequency: Annual
CP-1 — NIST 800-53 Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures. Related control: PM-9.
CP-2 — DAAPM Appendix A Control Verbiage
The organization: a. Develops a contingency plan for the information system that: 1. Identifies essential missions and business functions and associated contingency requirements; 2. Provides recovery objectives, restoration priorities, and metrics; 3. Addresses contingency roles, responsibilities, assigned individuals with contact information; 4. Addresses maintaining essential missions and business functions despite an information system disruption, compromise, or failure; 5. Addresses eventual, full information system restoration without deterioration of the security safeguards originally planned and implemented; and 6. Is reviewed and approved by ISSM and/or FSO Annually; b. Distributes copies of the contingency plan to all stakeholders identified in the contingency plan via an information sharing capability; c. Coordinates contingency planning activities with incident handling activities; d. Reviews the contingency plan for the information system at least Annually; e. Updates the contingency plan to address changes to the organization, information system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing; f. Communicates contingency plan changes to stakeholders identified in the contingency plan and g. Protects the contingency plan from unauthorized disclosure and modification.
CP-2 — DCSA Supplemental Guidance
The availability impact level drives the level of contingency required for the system. The Information System Contingency Plan(ISCP) may be either a separate document specific to the IS, included in the SSP, or may be incorporated into the Continuity of Operations Plan. ISCP development is the responsibility of the ISSM. The mission owner or ISO determine to what lengths the ISSM/ISSO should go to ensure a contingency plan is in place. The plan must define and describe specific responsibilities of designated staff or positions to facilitate the recovery and/or continuity of essential system functions. The ISCP consists of a comprehensive description of all actions to be taken before, during, and after a disaster or emergency condition along with documented and tested procedures. The ISCP helps to ensure critical resources are available and facilitates the continuity of operations in an emergency situation. Recommended Continuous Monitoring Frequency: Annual
CP-2 — NIST 800-53 Supplemental Guidance
Contingency planning for information systems is part of an overall organizational program for achieving continuity of operations for mission/business functions. Contingency planning addresses both information system restoration and implementation of alternative mission/business processes when systems are compromised. The effectiveness of contingency planning is maximized by considering such planning throughout the phases of the system development life cycle. Performing contingency planning on hardware, software, and firmware development can be an effective means of achieving information system resiliency. Contingency plans reflect the degree of restoration required for organizational information systems since not all systems may need to fully recover to achieve the level of continuity of operations desired. Information system recovery objectives reflect applicable laws, Executive Orders, directives, policies, standards, regulations, and guidelines. In addition to information system availability, contingency plans also address other security-related events resulting in a reduction in mission and/or business effectiveness, such as malicious attacks compromising the confidentiality or integrity of information systems. Actions addressed in contingency plans include, for example, orderly/graceful degradation, information system shutdown, fallback to a manual mode, alternate information flows, and operating in modes reserved for when systems are under attack. By closely coordinating contingency planning with incident handling activities, organizations can ensure that the necessary contingency planning activities are in place and activated in the event of a security incident. Related controls: AC-14, CP-6, CP-7, CP-8, CP-9, CP-10, IR-4, IR-8, MP-2, MP-4, MP-5, PM-8, PM-11.
CP-3 — DAAPM Appendix A Control Verbiage
The organization provides contingency training to information system users consistent with assigned roles and responsibilities: a. Within 60 days of assuming a contingency role or responsibility; b. When required by information system changes; and c. Annually or as defined in the contingency plan thereafter.
CP-3 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
CP-3 — NIST 800-53 Supplemental Guidance
Contingency training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure that the appropriate content and level of detail is included in such training. For example, regular users may only need to know when and where to report for duty during contingency operations and if normal duties are affected; system administrators may require additional training on how to set up information systems at alternate processing and storage sites; and managers/senior leaders may receive more specific training on how to conduct mission-essential functions in designated off-site locations and how to establish communications with other governmental entities for purposes of coordination on contingency-related activities. Training for contingency roles/responsibilities reflects the specific continuity requirements in the contingency plan. Related controls: AT-2, AT-3, CP-2, IR-2.
CP-4 — DAAPM Appendix A Control Verbiage
The organization: a. Tests the contingency plan for the information system Annually using full scale contingency plan testing or functional/tabletop exercises to determine the effectiveness of the plan and the organizational readiness to execute the plan; b. Reviews the contingency plan test results; and c. Initiates corrective actions, if needed.
CP-4 — DCSA Supplemental Guidance
It is recommended to conduct table top testing the first year and full scale testing on an Annual basis. Results of documented tests should be retained for one year or one assessment cycle whichever is longer. Recommended Continuous Monitoring Frequency: Annual
CP-4 — NIST 800-53 Supplemental Guidance
Methods for testing contingency plans to determine the effectiveness of the plans and to identify potential weaknesses in the plans include, for example, walk-through and tabletop exercises, checklists, simulations(parallel, full interrupt), and comprehensive exercises. Organizations conduct testing based on the continuity requirements in contingency plans and include a determination of the effects on organizational operations, assets, and individuals arising due to contingency operations. Organizations have flexibility and discretion in the breadth, depth, and timelines of corrective actions. Related controls: CP-2, CP-3, IR-3.
CP-7 — DAAPM Appendix A Control Verbiage
The organization: a. Establishes an alternate processing site including necessary agreements to permit the transfer and resumption of information system operations for essential missions/business functions within the time period consistent with recovery time and recovery point objectives defined in the authorized System Security Plan(SSP) when the primary processing capabilities are unavailable;; b. Ensures that equipment and supplies required to transfer and resume operations are available at the alternate processing site or contracts are in place to support delivery to the site within the organization-defined time period for transfer/resumption; and c. Ensures that the alternate processing site provides information security safeguards equivalent to that of the primary site.
CP-7 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
CP-7 — NIST 800-53 Supplemental Guidance
Alternate processing sites are sites that are geographically distinct from primary processing sites. An alternate processing site provides processing capability in the event that the primary processing site is not available. Items covered by alternate processing site agreements include, for example, environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and coordination for the transfer/assignment of personnel. Requirements are specifically allocated to alternate processing sites that reflect the requirements in contingency plans to maintain essential missions/business functions despite disruption, compromise, or failure in organizational information systems. Related controls: CP-2, CP-6, CP-8, CP-9, CP-10, MA-6.
CP-9 — DAAPM Appendix A Control Verbiage
The organization: a. Conducts backups of user-level information contained in the information system Weekly; b. Conducts backups of system-level information contained in the information system Weekly; c. Conducts backups of information system documentation including security-related documentation as required by system baseline configuration changes in accordance with the contingency plan; and d. Protects the confidentiality, integrity, and availability of backup information at storage locations.
CP-9 — DCSA Supplemental Guidance
The ISO shall develop backup plans for all information systems. Backup plans must be coordinated with the ISSM/ISSO and included in the ISCP. Backup plans should consider data-production rates and data-loss risks. The areas of risk that should be identified and planned for include, but are not limited to: a. Loss of power. b. Loss of network connectivity. c. Loss or corruption of data. d. Facility disruptions, such as loss of air conditioning, fire, flooding, etc. Recommended Continuous Monitoring Frequency: Weekly
CP-9 — NIST 800-53 Supplemental Guidance
System-level information includes, for example, system-state information, operating system and application software, and licenses. User-level information includes any information other than system-level information. Mechanisms employed by organizations to protect the integrity of information system backups include, for example, digital signatures and cryptographic hashes. Protection of system backup information while in transit is beyond the scope of this control. Information system backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information. Related controls: CP-2, CP-6, MP-4, MP-5, SC-13.
CP-10 — DAAPM Appendix A Control Verbiage
The organization provides for the recovery and reconstitution of the information system to a known state after a disruption, compromise, or failure.
CP-10 — DCSA Supplemental Guidance
Organizations shall ensure all backup and restoration hardware, firmware and software are adequately protected. Recommended Continuous Monitoring Frequency: Annual
CP-10 — NIST 800-53 Supplemental Guidance
Recovery is executing information system contingency plan activities to restore organizational missions/business functions. Reconstitution takes place following recovery and includes activities for returning organizational information systems to fully operational states. Recovery and reconstitution operations reflect mission and business priorities, recovery point/time and reconstitution objectives, and established organizational metrics consistent with contingency plan requirements. Reconstitution includes the deactivation of any interim information system capabilities that may have been needed during recovery operations. Reconstitution also includes assessments of fully restored information system capabilities, reestablishment of continuous monitoring activities, potential information system reauthorizations, and activities to prepare the systems against future disruptions, compromises, or failures. Recovery/reconstitution capabilities employed by organizations can include both automated mechanisms and manual procedures. Related controls: CA-2, CA-6, CA-7, CP-2, CP-6, CP-7, CP-9, SC-24.
IA-1 — DAAPM Appendix A Control Verbiage
The organization: a. Develops, documents, and disseminates to all personnel: 1. An identification and authentication policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and 2. Procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls; and b. Reviews and updates the current: 1. Identification and authentication policy at least Annually; and 2. Identification and authentication procedures at least Annually.
IA-1 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
IA-1 — NIST 800-53 Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the IA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures. Related control: PM-9.
IA-2 — DAAPM Appendix A Control Verbiage
The information system uniquely identifies and authenticates organizational users(or processes acting on behalf of organizational users).
IA-2 — DCSA Supplemental Guidance
Organizational users include organizational employees or individuals the organization deems to have equivalent status of employees. In addition to identifying and authenticating users at the information system level (i.e., at logon), identification and authentication mechanisms may be employed at the application level, when deemed necessary, to provide increased information security. This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Quarterly
IA-2 — NIST 800-53 Supplemental Guidance
Organizational users include employees or individuals that organizations deem to have equivalent status of employees (e.g., contractors, guest researchers). This control applies to all accesses other than: (i) accesses that are explicitly identified and documented in AC-14; and (ii) accesses that occur through authorized use of group authenticators without individual authentication. Organizations may require unique identification of individuals in group accounts (e.g., shared privilege accounts) or for detailed accountability of individual activity. Organizations employ passwords, tokens, or biometrics to authenticate user identities, or in the case multifactor authentication, or some combination thereof. Access to organizational information systems is defined as either local access or network access. Local access is any access to organizational information systems by users (or processes acting on behalf of users) where such access is obtained by direct connections without the use of networks. Network access is access to organizational information systems by users(or processes acting on behalf of users) where such access is obtained through network connections (i.e., nonlocal accesses). Remote access is a type of network access that involves communication through external networks (e.g., the Internet). Internal networks include local area networks and wide area networks. In addition, the use of encrypted virtual private networks(VPNs) for network connections between organization-controlled endpoints and non-organization controlled endpoints may be treated as internal networks from the perspective of protecting the confidentiality and integrity of information traversing the network. Organizations can satisfy the identification and authentication requirements in this control by complying with the requirements in Homeland Security Presidential Directive 12 consistent with the specific organizational implementation plans. Multifactor authentication requires the use of two or more different factors to achieve authentication. The factors are defined as: (i) something you know (e.g., password, personal identification number [PIN]); (ii) something you have (e.g., cryptographic identification device, token); or (iii) something you are (e.g., biometric). Multifactor solutions that require devices separate from information systems gaining access include, for example, hardware tokens providing time-based or challenge-response authenticators and smart cards such as the U.S. Government Personal Identity Verification card and the DoD common access card. In addition to identifying and authenticating users at the information system level (i.e., at logon), organizations also employ identification and authentication mechanisms at the application level, when necessary, to provide increased information security. Identification and authentication requirements for other than organizational users are described in IA-8.Related controls: AC-2, AC-3, AC-14, AC-17, AC-18, IA-4, IA-5, IA-8.
IA-2(5) — DAAPM Appendix A Control Verbiage
The organization requires individuals to be authenticated with an individual authenticator when a group authenticator is employed.
IA-2(5) — DCSA Supplemental Guidance
In general, group accounts are prohibited. Users must be uniquely identified and authenticated, unless an exception has been documented in the SSP and authorized by the AO, such as in the case of group accounts. Group authentication is discouraged. If required, it must be documented and authorized via the SSP. Individuals utilizing group account logons should document actions in a manual log(or other approved method) to ensure individual user accountability. This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Quarterly
IA-2(5) — NIST 800-53 Supplemental Guidance
Requiring individuals to use individual authenticators as a second level of authentication helps organizations to mitigate the risk of using group authenticators.
IA-2(8) — DAAPM Appendix A Control Verbiage
The information system implements replay-resistant authentication mechanisms for network access to privileged accounts.
IA-2(8) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
IA-2(8) — NIST 800-53 Supplemental Guidance
Authentication processes resist replay attacks if it is impractical to achieve successful authentications by replaying previous authentication messages. Replay-resistant techniques include, for example, protocols that use nonces or challenges such as Transport Layer Security(TLS) and time synchronous or challenge-response one-time authenticators.
IA-2(9) — DAAPM Appendix A Control Verbiage
The information system implements replay-resistant authentication mechanisms for network access to non-privileged accounts.
IA-2(9) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
IA-2(9) — NIST 800-53 Supplemental Guidance
Authentication processes resist replay attacks if it is impractical to achieve successful authentications by recording/replaying previous authentication messages. Replay-resistant techniques include, for example, protocols that use nonces or challenges such as Transport Layer Security(TLS) and time synchronous or challenge-response one-time authenticators.
IA-3 — DAAPM Appendix A Control Verbiage
The information system uniquely identifies and authenticates all types of devices before establishing a network connection.
IA-3 — DCSA Supplemental Guidance
This includes, but is not limited to, servers, workstations, printers, routers, firewalls, VoIP telephones, video and VoIP(VVOIP), desktop VTC devices, etc. This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Semi-Annual
IA-3 — NIST 800-53 Supplemental Guidance
Organizational devices requiring unique device-to-device identification and authentication may be defined by type, by device, or by a combination of type/device. Information systems typically use either shared known information (e.g., Media Access Control [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) for device identification or organizational authentication solutions (e.g., IEEE 802.1x and Extensible Authentication Protocol [EAP], Radius server with EAP-Transport Layer Security [TLS] authentication, Kerberos) to identify/authenticate devices on local and/or wide area networks. Organizations determine the required strength of authentication mechanisms by the security categories of information systems. Because of the challenges of applying this control on large scale, organizations are encouraged to only apply the control to those limited number(and type) of devices that truly need to support this capability. Related controls: AC-17, AC-18, AC-19, CA-3, IA-4, IA-5.
IA-3(4) — DAAPM Appendix A Control Verbiage
The organization ensures that device identification and authentication based on attestation is handled by [Assignment: organization-defined configuration management process].
IA-3(4) — DCSA Supplemental Guidance
IA-3(4) — NIST 800-53 Supplemental Guidance
Device attestation refers to the identification and authentication of a device based on its configuration and known operating state. This might be determined via some cryptographic hash of the device. If device attestation is the means of identification and authentication, then it is important that patches and updates to the device are handled via a configuration management process such that the those patches/updates are done securely and at the same time do not disrupt the identification and authentication to other devices.
IA-4 — DAAPM Appendix A Control Verbiage
The organization manages information system identifiers by: a. Receiving authorization from designated personnel to assign an individual, group, role, or device identifier; b. Selecting an identifier that identifies an individual, group, role, or device; c. Assigning the identifier to the intended individual, group, role, or device; d. Preventing reuse of identifiers for the time period defined in the authorized SSP and e. Disabling the identifier after a period not to exceed 90 days of inactivity for individuals, groups, or roles; not appropriate to define for device identifiers; e.g., MAC, IP addresses, or device unique token identifiers.
IA-4 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Semi-Annual
IA-4 — NIST 800-53 Supplemental Guidance
Common device identifiers include, for example, media access control (MAC), Internet protocol (IP) addresses, or device-unique token identifiers. Management of individual identifiers is not applicable to shared information system accounts (e.g., guest and anonymous accounts). Typically, individual identifiers are the user names of the information system accounts assigned to those individuals. In such instances, the account management activities of AC-2 use account names provided by IA-4.This control also addresses individual identifiers not necessarily associated with information system accounts (e.g., identifiers used in physical security control databases accessed by badge reader systems for access to information systems). Preventing reuse of identifiers implies preventing the assignment of previously used individual, group, role, or device identifiers to different individuals, groups, roles, or devices. Related controls: AC-2, IA-2, IA-3, IA-5, IA-8, SC-37.
IA-4(4) — DAAPM Appendix A Control Verbiage
The organization manages individual identifiers by uniquely identifying each individual as a contractor, government, civilian, military and/or foreign nationality as appropriate.
IA-4(4) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Semi-Annual
IA-4(4) — NIST 800-53 Supplemental Guidance
Characteristics identifying the status of individuals include, for example, contractors and foreign nationals. Identifying the status of individuals by specific characteristics provides additional information about the people with whom organizational personnel are communicating. For example, it might be useful for a government employee to know that one of the individuals on an email message is a contractor. Related control: AT-2.
IA-5 — DAAPM Appendix A Control Verbiage
The organization manages information system authenticators by: a. Verifying, as part of the initial authenticator distribution, the identity of the individual, group, role, or device receiving the authenticator; b. Establishing initial authenticator content for authenticators defined by the organization; c. Ensuring that authenticators have sufficient strength of mechanism for their intended use; d. Establishing and implementing administrative procedures for initial authenticator distribution, for lost/compromised or damaged authenticators, and for revoking authenticators; e. Changing default content of authenticators prior to information system installation; f. Establishing minimum and maximum lifetime restrictions and reuse conditions for authenticators; g. Changing/refreshing authenticators within a time period not to exceed 90 days for passwords; system defined time period for other authenticator types; h. Protecting authenticator content from unauthorized disclosure and modification; i. Requiring individuals to take, and having devices implement, specific security safeguards to protect authenticators; and j. Changing authenticators for group/role accounts when membership to those accounts changes.
IA-5 — DCSA Supplemental Guidance
Passwords must meet strong password standards. Examples of situations that may require tailoring include, but are not limited to: a. The password mechanism does not support strong password requirements; b. The password is one factor of an authorized, multifactor authentication means; and c. The password is used by a system process(as opposed to an interactive user session). d. The system operates in or simulates a tactical/operational environment that prohibits the use of passwords while in use. A Shared(Group) Password is an account password shared among a group of users (i.e., group account) and must be documented in the SSP and authorized by the AO. If authorized, shared passwords must not knowingly be the same for any other account and shall be changed if a user leaves the group. Recommended Continuous Monitoring Frequency: Annual
IA-5 — NIST 800-53 Supplemental Guidance
Individual authenticators include, for example, passwords, tokens, biometrics, PKI certificates, and key cards. Initial authenticator content is the actual content (e.g., the initial password) as opposed to requirements about authenticator content (e.g., minimum password length). In many cases, developers ship information system components with factory default authentication credentials to allow for initial installation and configuration. Default authentication credentials are often well known, easily discoverable, and present a significant security risk. The requirement to protect individual authenticators may be implemented via control PL-4 or PS-6 for authenticators in the possession of individuals and by controls AC-3, AC-6,and SC-28 for authenticators stored within organizational information systems (e.g., passwords stored in hashed or encrypted formats, files containing encrypted or hashed passwords accessible with administrator privileges). Information systems support individual authenticator management by organization-defined settings and restrictions for various authenticator characteristics including, for example, minimum password length, password composition, validation time window for time synchronous one-time tokens, and number of allowed rejections during the verification stage of biometric authentication. Specific actions that can be taken to safeguard authenticators include, for example, maintaining possession of individual authenticators, not loaning or sharing individual authenticators with others, and reporting lost, stolen, or compromised authenticators immediately. Authenticator management includes issuing and revoking, when no longer needed, authenticators for temporary access such as that required for remote maintenance. Device authenticators include, for example, certificates and passwords. Related controls: AC-2, AC-3, AC-6, CM-6, IA-2, IA-4, IA-8, PL-4, PS-5, PS-6, SC-12, SC-13, SC-17, SC-28.
IA-5(1) — DAAPM Appendix A Control Verbiage
The information system, for password-based authentication: (a) Enforces minimum password complexity of at least 14 characters in length for non-privileged accounts and 15 characters in length for privileged accounts; contains a string of characters that does not include the user's account name or full name; includes one or more characters from at least 3 of the following 4 classes: Uppercase, lowercase, numerical & special characters; (b) Enforces at least the following number of changed characters when new passwords are created: a minimum of four changed characters; (c) Stores and transmits only cryptographically-protected passwords; (d) Enforces password minimum and maximum lifetime restrictions of at least 1 day lifetime minimum and 90 day lifetime maximum; (e) Prohibits password reuse for a minimum of 24 password generations; and (f) Allows the use of a temporary password for system logons with an immediate change to a permanent password.
IA-5(1) — DCSA Supplemental Guidance
These password requirements are for English display language. Other display languages should use equivalent password strength requirements. Passwords shall not be stored on an information system in clear text. An authorized, non-reversible, encryption algorithm (e.g., hash algorithm) shall be used to transform a password into a format that may be stored in a password file for use during subsequent password-validation. Passwords and password files, when transmitted using electronic means, shall be encrypted using an authorized algorithm. An approved product vendor's current password hashing algorithm is an authorized algorithm when used on a protected network. When possible, systems shall be configured to automatically notify the user of the requirement to change their password at least fourteen(14) days before its expiration. The minimum age restriction does not apply to the initial change of a password, help desk password reset, or when compromise of a password is known or suspected. Recommended Continuous Monitoring Frequency: Annual
IA-5(1) — NIST 800-53 Supplemental Guidance
This control enhancement applies to single-factor authentication of individuals using passwords as individual or group authenticators, and in a similar manner, when passwords are part of multifactor authenticators. This control enhancement does not apply when passwords are used to unlock hardware authenticators (e.g., Personal Identity Verification cards). The implementation of such password mechanisms may not meet all of the requirements in the enhancement. Cryptographically-protected passwords include, for example, encrypted versions of passwords and one-way cryptographic hashes of passwords. The number of changed characters refers to the number of changes required with respect to the total number of positions in the current password. Password lifetime restrictions do not apply to temporary passwords. To mitigate certain brute force attacks against passwords, organizations may also consider salting passwords. Related control: IA-6.
IA-5(4) — DAAPM Appendix A Control Verbiage
The organization employs automated tools to determine if password authenticators are sufficiently strong to satisfy requirements as defined in IA-5(1).
IA-5(4) — DCSA Supplemental Guidance
Passwords should be sufficiently strong to resist password cracking and other types of attacks intended to discover users' passwords. Information resources should use automated password filters to verify that passwords are created consistent with this document. Automated tools should be accessible to assist users with checking password strengths and generating passwords. A password cracking method shall be used only with written AO authorization providing explicit direction for use during vulnerability testing. Only authorized personnel will have access to and use password cracking tools. Reference IA-5(1) for password requirements. Recommended Continuous Monitoring Frequency: Annual
IA-5(4) — NIST 800-53 Supplemental Guidance
This control enhancement focuses on the creation of strong passwords and the characteristics of such passwords (e.g., complexity) prior to use, the enforcement of which is carried out by organizational information systems in IA-5(1). Related controls: CA-2, CA-7, RA-5.
IA-5(7) — DAAPM Appendix A Control Verbiage
The organization ensures that unencrypted static authenticators are not embedded in applications or access scripts or stored on function keys.
IA-5(7) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
IA-5(7) — NIST 800-53 Supplemental Guidance
Organizations exercise caution in determining whether embedded or stored authenticators are in encrypted or unencrypted form. If authenticators are used in the manner stored, then those representations are considered unencrypted authenticators. This is irrespective of whether that representation is perhaps an encrypted version of something else (e.g., a password).
IA-5(8) — DAAPM Appendix A Control Verbiage
The organization implements the following security safeguards to manage the risk of compromise due to individuals having accounts on multiple information systems: a. Users cannot use the same password for different systems with domains of differing classification levels; b. Users cannot use the same password to access different systems within one class level (e.g., internal agency network and Intelink); and c. Users cannot use the same password to access different accounts with different privilege levels (e.g., user, and administrator).
IA-5(8) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
IA-5(8) — NIST 800-53 Supplemental Guidance
When individuals have accounts on multiple information systems, there is the risk that the compromise of one account may lead to the compromise of other accounts if individuals use the same authenticators. Possible alternatives include, for example: (i) having different authenticators on all systems; (ii) employing some form of single sign-on mechanism; or (iii) including some form of one-time passwords on all systems.
IA-5(13) — DAAPM Appendix A Control Verbiage
The information system prohibits the use of cached authenticators after one hour.
IA-5(13) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
IA-5(13) — NIST 800-53 Supplemental Guidance
IA-6 — DAAPM Appendix A Control Verbiage
The information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals.
IA-6 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
IA-6 — NIST 800-53 Supplemental Guidance
The feedback from information systems does not provide information that would allow unauthorized individuals to compromise authentication mechanisms. For some types of information systems or system components, for example, desktops/notebooks with relatively large monitors, the threat(often referred to as shoulder surfing) may be significant. For other types of systems or components, for example, mobile devices with 2-4 inch screens, this threat may be less significant, and may need to be balanced against the increased likelihood of typographic input errors due to the small keyboards. Therefore, the means for obscuring the authenticator feedback is selected accordingly. Obscuring the feedback of authentication information includes, for example, displaying asterisks when users type passwords into input devices, or displaying feedback for a very limited time before fully obscuring it. Related control: PE-18.
IA-7 — DAAPM Appendix A Control Verbiage
The information system implements mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication.
IA-7 — DCSA Supplemental Guidance
Classified systems may use NSA-validated cryptographic modules (e.g., when traversing public IP space, connection without PDS implementation, contractual requirements). For isolated classified systems, reference FIPS 140-2(http:csrc.nist.gov/groups/STM/cmvp/index.html) for validated cryptographic modules. Recommended Continuous Monitoring Frequency: Annual
IA-7 — NIST 800-53 Supplemental Guidance
Authentication mechanisms may be required within a cryptographic module to authenticate an operator accessing the module and to verify that the operator is authorized to assume the requested role and perform services within that role. Related controls: SC-12, SC-13.
IA-8 — DAAPM Appendix A Control Verbiage
The information system uniquely identifies and authenticates non-organizational users(or processes acting on behalf of non-organizational users).
IA-8 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
IA-8 — NIST 800-53 Supplemental Guidance
Non-organizational users include information system users other than organizational users explicitly covered by IA-2.These individuals are uniquely identified and authenticated for accesses other than those accesses explicitly identified and documented in AC-14. In accordance with the E-Authentication E-Government initiative, authentication of non-organizational users accessing federal information systems may be required to protect federal, proprietary, or privacy-related information(with exceptions noted for national security systems). Organizations use risk assessments to determine authentication needs and consider scalability, practicality, and security in balancing the need to ensure ease of use for access to federal information and information systems with the need to protect and adequately mitigate risk. IA-2 addresses identification and authentication requirements for access to information systems by organizational users. Related controls: AC-2, AC-14, AC-17, AC-18, IA-2, IA-4, IA-5, MA-4, RA-3, SA-12, SC-8.
IR-1 — DAAPM Appendix A Control Verbiage
The organization: a. Develops, documents, and disseminates to all stakeholders: 1. An incident response policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and 2. Procedures to facilitate the implementation of the incident response policy and associated incident response controls; and b. Reviews and updates the current: 1. Incident response policy at least Annually; and 2. Incident response procedures at least Annually.
IR-1 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
IR-1 — NIST 800-53 Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the IR family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures. Related control: PM-9.
IR-2 — DAAPM Appendix A Control Verbiage
The organization provides incident response training to information system users consistent with assigned roles and responsibilities: a. Within thirty(30) working days of assuming an incident response role or responsibility; b. When required by information system changes; and c. At least Annually thereafter.
IR-2 — DCSA Supplemental Guidance
Incident recognition and reporting training shall be included as part of both general and privileged user awareness training. General users must be trained on what constitutes suspicious activity as it applies to the system, other users, and unauthorized individuals internal and external to the organization. General users must also know to whom and when to report suspicious activity and to keep discussions about potential incidents within the incident response chain of command. Privileged users should be trained in preserving the scene, preserving the data(volatile and nonvolatile), chain of custody, and reporting requirements. Privileged users frequently move from the containment phase to eradication compromising data necessary in prosecuting a potentially criminal case. Privileged users must also know who to contact for assistance in responding to an incident. Additional incident response related training may be required depending on the system, environment, and mission criticality. Recommended Continuous Monitoring Frequency: Annual
IR-2 — NIST 800-53 Supplemental Guidance
Incident response training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure the appropriate content and level of detail is included in such training. For example, regular users may only need to know who to call or how to recognize an incident on the information system; system administrators may require additional training on how to handle/remediate incidents; and incident responders may receive more specific training on forensics, reporting, system recovery, and restoration. Incident response training includes user training in the identification and reporting of suspicious activities, both from external and internal sources. Related controls: AT-3, CP-3, IR-8.
IR-3 — DAAPM Appendix A Control Verbiage
The organization tests the incident response capability for the information system at least Annually using appropriate tests to determine the incident response effectiveness and documents the results.
IR-3 — DCSA Supplemental Guidance
Lessons learned should be documented and incorporated into future exercises. If there were no incidents during the past year, the incident response plan shall be tested using a simulated incident/event. Recommended Continuous Monitoring Frequency: Annual
IR-3 — NIST 800-53 Supplemental Guidance
Organizations test incident response capabilities to determine the overall effectiveness of the capabilities and to identify potential weaknesses or deficiencies. Incident response testing includes, for example, the use of checklists, walk-through or tabletop exercises, simulations(parallel/full interrupt), and comprehensive exercises. Incident response testing can also include a determination of the effects on organizational operations (e.g., reduction in mission capabilities), organizational assets, and individuals due to incident response. Related controls: CP-4, IR-8.
IR-3(2) — DAAPM Appendix A Control Verbiage
The organization coordinates incident response testing with organizational elements responsible for related plans.
IR-3(2) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
IR-3(2) — NIST 800-53 Supplemental Guidance
Organizational plans related to incident response testing include, for example, Business Continuity Plans, Contingency Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, and Occupant Emergency Plans.
IR-4 — DAAPM Appendix A Control Verbiage
The organization: a. Implements an incident handling capability for security incidents that includes preparation, detection and analysis, containment, eradication, and recovery; b. Coordinates incident handling activities with contingency planning activities; and c. Incorporates lessons learned from ongoing incident handling activities into incident response procedures, training, and testing/exercises, and implements the resulting changes accordingly.
IR-4 — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Annual
IR-4 — NIST 800-53 Supplemental Guidance
Organizations recognize that incident response capability is dependent on the capabilities of organizational information systems and the mission/business processes being supported by those systems. Therefore, organizations consider incident response as part of the definition, design, and development of mission/business processes and information systems. Incident-related information can be obtained from a variety of sources including, for example, audit monitoring, network monitoring, physical access monitoring, user/administrator reports, and reported supply chain events. Effective incident handling capability includes coordination among many organizational entities including, for example, mission/business owners, information system owners, authorizing officials, human resources offices, physical and personnel security offices, legal departments, operations personnel, procurement offices, and the risk executive(function). Related controls: AU-6, CM-6, CP-2, CP-4, IR-2, IR-3, IR-8, PE-6, SC-5, SC-7, SI-3, SI-4, SI-7.
IR-4(1) — DAAPM Appendix A Control Verbiage
The organization employs automated mechanisms to support the incident handling process.
IR-4(1) — DCSA Supplemental Guidance
For standalone systems, an automated handling process may not be feasible or may reside on another system. This control can be implemented by employing a manual process (e.g. SOPs, manual logs, document trail, etc.) or by referencing the automated process residing on another system. The implementation strategy for this control will be documented in the Incident Response Plan(IRP). Recommended Continuous Monitoring Frequency: Annual
IR-4(1) — NIST 800-53 Supplemental Guidance
Automated mechanisms supporting incident handling processes include, for example, online incident management systems.
IR-4(3) — DAAPM Appendix A Control Verbiage
The organization identifies classes/categories as defined in CNSS 1002, 1010 to define actions required in the event of an incident to ensure continuation of organizational missions and business functions.
IR-4(3) — DCSA Supplemental Guidance
A database or spreadsheet may be used to capture information about each incident. This method provides the opportunity to identify the class of each incident to ensure appropriate actions are captured in the updated incident handling procedures. Recommended Continuous Monitoring Frequency: Annual
IR-4(3) — NIST 800-53 Supplemental Guidance
Classes of incidents include, for example, malfunctions due to design/implementation errors and omissions, targeted malicious attacks, and untargeted malicious attacks. Appropriate incident response actions include, for example, graceful degradation, information system shutdown, fall back to manual mode/alternative technology whereby the system operates differently, employing deceptive measures, alternate information flows, or operating in a mode that is reserved solely for when systems are under attack.
IR-4(4) — DAAPM Appendix A Control Verbiage
The organization correlates incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response.
IR-4(4) — DCSA Supplemental Guidance
Information correlation also provides an automated approach to track trends resulting in updated overall training or individual one-on-one recalibration, insight into system or equipment issues that call for closer scrutiny. Including facility and room alarms in the database or spreadsheet can also highlight recurring issues with an alarm on a particular facility or room. Larger corporations should capture all incidents across campus to better assess organization-wide trends, individuals, and equipment. The sum total offers an organization-wide awareness. Recommended Continuous Monitoring Frequency: Annual
IR-4(4) — NIST 800-53 Supplemental Guidance
Sometimes the nature of a threat event, for example, a hostile cyber attack, is such that it can only be observed by bringing together information from different sources including various reports and reporting procedures established by organizations.
IR-4(6) — DAAPM Appendix A Control Verbiage
The organization implements incident handling capability for insider threats.
IR-4(6) — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Annual
IR-4(6) — NIST 800-53 Supplemental Guidance
While many organizations address insider threat incidents as an inherent part of their organizational incident response capability, this control enhancement provides additional emphasis on this type of threat and the need for specific incident handling capabilities(as defined within organizations) to provide appropriate and timely responses.
IR-4(7) — DAAPM Appendix A Control Verbiage
The organization coordinates incident handling capability for insider threats across program-defined components.
IR-4(7) — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Annual
IR-4(7) — NIST 800-53 Supplemental Guidance
Incident handling for insider threat incidents (including preparation, detection and analysis, containment, eradication, and recovery) requires close coordination among a variety of organizational components or elements to be effective. These components or elements include, for example, mission/business owners, information system owners, human resources offices, procurement offices, personnel/physical security offices, operations personnel, and risk executive(function). In addition, organizations may require external support from federal, state, and local law enforcement agencies.
IR-4(8) — DAAPM Appendix A Control Verbiage
The organization coordinates with organizations whose data has been involved in an incident to correlate and share incident-related information to achieve a cross organization perspective on incident awareness and more effective incident responses.
IR-4(8) — DCSA Supplemental Guidance
AO notification required prior to notifications to external stakeholders. Recommended Continuous Monitoring Frequency: Annual
IR-4(8) — NIST 800-53 Supplemental Guidance
The coordination of incident information with external organizations including, for example, mission/business partners, military/coalition partners, customers, and multitiered developers, can provide significant benefits. Cross-organizational coordination with respect to incident handling can serve as an important risk management capability. This capability allows organizations to leverage critical information from a variety of sources to effectively respond to information security-related incidents potentially affecting the organization's operations, assets, and individuals.
IR-5 — DAAPM Appendix A Control Verbiage
The organization tracks and documents information system security incidents.
IR-5 — DCSA Supplemental Guidance
Collecting user statements of those involved in incidents with information systems is also required in order to completely document the details of an incident. While it is not cost effective for most organizations to maintain an online incident management system, there are functions that can be automated to support the incident handling process. For instance mechanisms in support of identification or detection and analysis include: a. System audit logs that capture unsuccessful attempts to log into the system, attempts to gain access to unauthorized folders/files, attempts to introduce unauthorized software or media. b. Device audit logs. c. IDS, content filtering applications, etc. Recommended Continuous Monitoring Frequency: Annual
IR-5 — NIST 800-53 Supplemental Guidance
Documenting information system security incidents includes, for example, maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics, evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources including, for example, incident reports, incident response teams, audit monitoring, network monitoring, physical access monitoring, and user/administrator reports. Related controls: AU-6, IR-8, PE-6, SC-5, SC-7, SI-3, SI-4, SI-7.
IR-6 — DAAPM Appendix A Control Verbiage
The organization: a. Requires personnel to report suspected security incidents to the organizational incident response capability within 24 hours; and b. Reports security incident information to their assigned DSS representatives.
IR-6 — DCSA Supplemental Guidance
In the case of a suspected incident, containment procedures must begin immediately. However, IO confirmation of the classification of the information spilled is required promptly so decisions concerning scale of containment and eradication efforts can be scoped. Initial/interim reporting should begin as soon as possible after knowledge of the incident and should continue until the incident is resolved. The facility must make a Preliminary Inquiry immediately to the CSA when there is a loss, compromise, or suspected compromise of classified information, foreign or domestic. The originating facility FSO of the contamination leads the effort. The FSO will immediately coordinate and plan the investigation/cleanup considering detailed information such as sender, recipient(s), subject, time sent, day sent, systems and peripherals potentially affected, etc. If the contractor's preliminary inquiry confirms that a loss, compromise, or suspected compromise of any classified information occurred, the contractor will promptly submit an initial report of the incident unless notified by the CSA. The initial report will be distributed via secure channels (STE, secure fax, cleared network, etc.). If secure channels are not available, the initial report will not include location and/or classification of the spill only. Additionally, the FSO will prepare a final report when the investigation is completed to the CSA. The ISSM/ISSO must also report the incident to the system AO. Organizations will continue to report until the incident is closed. Information system-related fraud, waste, and abuse issues should be reported to the organization's chain of command. Individuals also have the right to call the Fraud, Waste and Abuse Center (FWAC) hotline. Recommended Continuous Monitoring Frequency: Annual
IR-6 — NIST 800-53 Supplemental Guidance
The intent of this control is to address both specific incident reporting requirements within an organization and the formal incident reporting requirements for federal agencies and their subordinate organizations. Suspected security incidents include, for example, the receipt of suspicious email communications that can potentially contain malicious code. The types of security incidents reported, the content and timeliness of the reports, and the designated reporting authorities reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Current federal policy requires that all federal agencies (unless specifically exempted from such requirements) report security incidents to the United States Computer Emergency Readiness Team (US-CERT) within specified time frames designated in the US-CERT Concept of Operations for Federal Cyber Security Incident Handling. Related controls: IR-4, IR-5, IR-8.
IR-6(1) — DAAPM Appendix A Control Verbiage
The organization employs automated mechanisms to assist in the reporting of security incidents.
IR-6(1) — DCSA Supplemental Guidance
Differing types of automated mechanisms can meet the intent of IR-6(1). This mechanism may be a web-based form that is populated by the ISSM/ISSO alerting the appropriate individuals, or an email process that includes a preset distribution group to ensure all key individuals are alerted in the event of an incident. When an email distribution is used, the responder must be cautious and ensure only unclassified information is entered into the initial report. For standalone systems, an automated reporting process may not be feasible or may reside on another system. This control can be implemented by employing a manual process (e.g. SOPs, manual logs, document trail, etc.) or by referencing the automated process residing on another system. The implementation strategy for this control will be documented in the IRP. Recommended Continuous Monitoring Frequency: Annual
IR-6(2) — DAAPM Appendix A Control Verbiage
The organization reports information system vulnerabilities associated with reported security incidents to assigned DSS representatives.
IR-6(2) — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Annual
IR-6(2) — NIST 800-53 Supplemental Guidance
IR-7 — DAAPM Appendix A Control Verbiage
The organization provides an incident response support resource, integral to the organizational incident response capability, that offers advice and assistance to users of the information system for the handling and reporting of security incidents.
IR-7 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
IR-7 — NIST 800-53 Supplemental Guidance
Incident response support resources provided by organizations include, for example, help desks, assistance groups, and access to forensics services, when required. Related controls: AT-2, IR-4, IR-6, IR-8, SA-9.
IR-7(1) — DAAPM Appendix A Control Verbiage
The organization employs automated mechanisms to increase the availability of incident response related information and support.
IR-7(1) — DCSA Supplemental Guidance
For standalone systems, an automated support capability may not be feasible or may reside on another system. This control can be implemented by employing a manual process (e.g. SOPs, manual logs, document trail, etc.) or by referencing the automated process residing on another system. The implementation strategy for this control will be documented in the IRP. Recommended Continuous Monitoring Frequency: Annual
IR-7(1) — NIST 800-53 Supplemental Guidance
Automated mechanisms can provide a push and/or pull capability for users to obtain incident response assistance. For example, individuals might have access to a website to query the assistance capability, or conversely, the assistance capability may have the ability to proactively send information to users(general distribution or targeted) as part of increasing understanding of current response capabilities and support.
IR-7(2) — DAAPM Appendix A Control Verbiage
The organization: (a) Establishes a direct, cooperative relationship between its incident response capability and external providers of information system protection capability; and (b) Identifies organizational incident response team members to the external providers.
IR-7(2) — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Annual
IR-7(2) — NIST 800-53 Supplemental Guidance
External providers of information system protection capability include, for example, the Computer Network Defense program within the U.S. Department of Defense. External providers help to protect, monitor, analyze, detect, and respond to unauthorized activity within organizational information systems and networks.
IR-8 — DAAPM Appendix A Control Verbiage
The organization: a. Develops an incident response plan that: 1. Provides the organization with a roadmap for implementing its incident response capability; 2. Describes the structure and organization of the incident response capability; 3. Provides a high-level approach for how the incident response capability fits into the overall organization; 4. Meets the unique requirements of the organization, which relate to mission, size, structure, and functions; 5. Defines reportable incidents; 6. Provides metrics for measuring the incident response capability within the organization; 7. Defines the resources and management support needed to effectively maintain and mature an incident response capability; and 8. Is reviewed and approved by the AO; b. Distributes copies of the incident response plan to all stakeholders; c. Reviews the incident response plan Annually; d. Updates the incident response plan to address system/organizational changes or problems encountered during plan implementation, execution, or testing; e. Communicates incident response plan changes to all stakeholders not later than 30 days after the change has been made; and f. Protects the incident response plan from unauthorized disclosure and modification.
IR-8 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
IR-8 — NIST 800-53 Supplemental Guidance
It is important that organizations develop and implement a coordinated approach to incident response. Organizational missions, business functions, strategies, goals, and objectives for incident response help to determine the structure of incident response capabilities. As part of a comprehensive incident response capability, organizations consider the coordination and sharing of information with external organizations, including, for example, external service providers and organizations involved in the supply chain for organizational information systems. Related controls: MP-2, MP-4, MP-5.
IR-9 — DAAPM Appendix A Control Verbiage
The organization responds to information spills by: a. Identifying the specific information causing the information system contamination; b. Alerting IO, DSS, and IS Security personnel of the information spill using a secure method of communication; c. Isolating the contaminated information system; d. Eradicating the information from the contaminated information system; e. Identifying other information systems that may have been subsequently contaminated; and f. Performing other actions as defined in the SSP.
IR-9 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
IR-9 — NIST 800-53 Supplemental Guidance
Information spillage refers to instances where either classified or sensitive information is inadvertently placed on information systems that are not authorized to process such information. Such information spills often occur when information that is initially thought to be of lower sensitivity is transmitted to an information system and then is subsequently determined to be of higher sensitivity. At that point, corrective action is required. The nature of the organizational response is generally based upon the degree of sensitivity of the spilled information (e.g., security category or classification level), the security capabilities of the information system, the specific nature of contaminated storage media, and the access authorizations (e.g., security clearances) of individuals with authorized access to the contaminated system. The methods used to communicate information about the spill after the fact do not involve methods directly associated with the actual spill to minimize the risk of further spreading the contamination before such contamination is isolated and eradicated.
IR-9(1) — DAAPM Appendix A Control Verbiage
The organization identifies all personnel, ISSM/ISSO, and FSO with responsibility for responding to information spills.
IR-9(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
IR-9(1) — NIST 800-53 Supplemental Guidance
IR-9(2) — DAAPM Appendix A Control Verbiage
The organization provides information spillage response training Annually.
IR-9(2) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
IR-9(2) — NIST 800-53 Supplemental Guidance
IR-9(4) — DAAPM Appendix A Control Verbiage
The organization employs security safeguards for personnel exposed to information not within assigned access authorizations.
IR-9(4) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
IR-9(4) — NIST 800-53 Supplemental Guidance
Security safeguards include, for example, making personnel exposed to spilled information aware of the federal laws, directives, policies, and/or regulations regarding the information and the restrictions imposed based on exposure to such information.
IR-10 — DAAPM Appendix A Control Verbiage
The organization establishes an integrated team of forensic/malicious code analysts, tool developers, and real-time operations personnel.
IR-10 — DCSA Supplemental Guidance
For standalone systems, an integrated security analysis team(forensic/malicious code analysts, tool developers and real-time operations personnel) most likely performed by a common control provider at a component level organization. This control is met by referencing the organization providing the security analysis team capability as a common control provider. This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Annual
IR-10 — NIST 800-53 Supplemental Guidance
Having an integrated team for incident response facilitates information sharing. Such capability allows organizational personnel, including developers, implementers, and operators, to leverage the team knowledge of the threat in order to implement defensive measures that will enable organizations to deter intrusions more effectively. Moreover, it promotes the rapid detection of intrusions, development of appropriate mitigations, and the deployment of effective defensive measures. For example, when an intrusion is detected, the integrated security analysis team can rapidly develop an appropriate response for operators to implement, correlate the new incident with information on past intrusions, and augment ongoing intelligence development. This enables the team to identify adversary TTPs that are linked to the operations tempo or to specific missions/business functions, and to define responsive actions in a way that does not disrupt the mission/business operations. Ideally, information security analysis teams are distributed within organizations to make the capability more resilient.
MA-1 — DAAPM Appendix A Control Verbiage
The organization: a. Develops, documents, and disseminates to all stakeholders: 1. A system maintenance policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and 2. Procedures to facilitate the implementation of the system maintenance policy and associated system maintenance controls; and b. Reviews and updates the current: 1. System maintenance policy at least Annually; and 2. System maintenance procedures at least Annually.
MA-1 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
MA-1 — NIST 800-53 Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the MA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures. Related control: PM-9.
MA-2 — DAAPM Appendix A Control Verbiage
The organization: a. Schedules, performs, documents, and reviews records of, maintenance and repairs on information system components in accordance with manufacturer or vendor specifications and /or organizational requirements; b. Approves and monitors all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location; c. Requires that the ISSM/ISSO or designee explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs; d. Sanitizes equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance or repairs; e. Checks all potentially impacted security controls to verify that the controls are still functioning properly following maintenance or repair actions; and f. Includes date and time of maintenance, name of individual performing the maintenance, name of escort (if appropriate), a description of the maintenance performed, and a list of equipment removed or replaced to include ID numbers (if applicable) in organizational maintenance records.
MA-2 — DCSA Supplemental Guidance
IS are particularly vulnerable to security threats during maintenance activities. The level of risk is directly associated with the maintenance person's clearance and access status. A maintenance person may be uncleared or may not be cleared to the level of the classified IS. Properly cleared personnel working in the area must maintain a high level of security awareness at all times during IS maintenance activities. All maintenance activities should be performed on-site whenever possible. Removal of an IS or system components from a facility for maintenance or repairs requires approval coordination. Organizations shall record all information system repairs and maintenance activity in a maintenance log for the life of the IS and retain the log for a minimum of one year after equipment decommissioning or disposal. Recommended Continuous Monitoring Frequency: Annual
MA-2 — NIST 800-53 Supplemental Guidance
This control addresses the information security aspects of the information system maintenance program and applies to all types of maintenance to any system component (including applications) conducted by any local or nonlocal entity (e.g., in-contract, warranty, in-house, software maintenance agreement). System maintenance also includes those components not directly associated with information processing and/or data/information retention such as scanners, copiers, and printers. Information necessary for creating effective maintenance records includes, for example: (i) date and time of maintenance; (ii) name of individuals or group performing the maintenance; (iii) name of escort, if necessary; (iv) a description of the maintenance performed; and(v) information system components/equipment removed or replaced (including identification numbers, if applicable). The level of detail included in maintenance records can be informed by the security categories of organizational information systems. Organizations consider supply chain issues associated with replacement components for information systems. Related controls: CM-3, CM-4, MA-4, MP-6, PE-16, SA-12, SI-2.
MA-3 — DAAPM Appendix A Control Verbiage
The organization approves, controls, and monitors information system maintenance tools.
MA-3 — DCSA Supplemental Guidance
Devices with transmit capability (e.g., IR, RF) shall remain outside the facility unless explicitly approved by the AO. Recommended Continuous Monitoring Frequency: Annual
MA-3 — NIST 800-53 Supplemental Guidance
This control addresses security-related issues associated with maintenance tools used specifically for diagnostic and repair actions on organizational information systems. Maintenance tools can include hardware, software, and firmware items. Maintenance tools are potential vehicles for transporting malicious code, either intentionally or unintentionally, into a facility and subsequently into organizational information systems. Maintenance tools can include, for example, hardware/software diagnostic test equipment and hardware/software packet sniffers. This control does not cover hardware/software components that may support information system maintenance, yet are a part of the system, for example, the software implementing ping, ls, ipconfig, or the hardware and software implementing the monitoring port of an Ethernet switch. Related controls: MA-2, MA-5, MP-6.
MA-3(2) — DAAPM Appendix A Control Verbiage
The organization checks all media containing diagnostic and test programs for malicious code before the media are used in the information system.
MA-3(2) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
MA-3(2) — NIST 800-53 Supplemental Guidance
If, upon inspection of media containing maintenance diagnostic and test programs, organizations determine that the media contain malicious code, the incident is handled consistent with organizational incident handling policies and procedures. Related control: SI-3.
MA-3(3) — DAAPM Appendix A Control Verbiage
The organization prevents the unauthorized removal of maintenance equipment containing organizational information by: (a) Verifying that there is no organizational information contained on the equipment; (b) Sanitizing or destroying the equipment; (c) Retaining the equipment within the facility; or (d) Obtaining an exemption from ISSM/ISSO explicitly authorizing removal of the equipment from the facility.
MA-3(3) — DCSA Supplemental Guidance
Media without write protection that is brought in for maintenance must remain within the facility and must be stored and controlled at the classification level of the highest IS to which the media was introduced. Prior to entering the facility, maintenance personnel must be advised that they will not be allowed to remove media from the facility. If deviation from this procedure is required under special circumstances, it must be documented locally for review and approval by the ISSM/ISSO. Each time the diagnostic test media is introduced into the facility it must undergo stringent integrity checks prior to being used on the IS. Prior to leaving the facility, the media must be checked to assure that no classified information has been written on it.. The information system restricts the use of maintenance tools to authorized personnel only. Recommended Continuous Monitoring Frequency: Annual
MA-3(3) — NIST 800-53 Supplemental Guidance
Organizational information includes all information specifically owned by organizations and information provided to organizations in which organizations serve as information stewards
MA-4 — DAAPM Appendix A Control Verbiage
The organization: a. Approves and monitors nonlocal maintenance and diagnostic activities; b. Allows the use of nonlocal maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the information system; c. Employs strong authenticators in the establishment of nonlocal maintenance and diagnostic sessions; d. Maintains records for nonlocal maintenance and diagnostic activities; and e. Terminates session and network connections when nonlocal maintenance is completed.
MA-4 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
MA-4 — NIST 800-53 Supplemental Guidance
Nonlocal maintenance and diagnostic activities are those activities conducted by individuals communicating through a network, either an external network (e.g., the Internet) or an internal network. Local maintenance and diagnostic activities are those activities carried out by individuals physically present at the information system or information system component and not communicating across a network connection. Authentication techniques used in the establishment of nonlocal maintenance and diagnostic sessions reflect the network access requirements in IA-2.Typically, strong authentication requires authenticators that are resistant to replay attacks and employ multifactor authentication. Strong authenticators include, for example, PKI where certificates are stored on a token protected by a password, passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by other controls. Related controls: AC-2, AC-3, AC-6, AC-17, AU-2, AU-3, IA-2, IA-4, IA-5, IA-8, MA-2, MA-5, MP-6, PL-2, SC-7, SC-10, SC-17.
MA-4(3) — DAAPM Appendix A Control Verbiage
The organization: (a) Requires that non-local maintenance and diagnostic services be performed from an information system that implements a security capability comparable to the capability implemented on the system being serviced; or (b) Removes the component to be serviced from the information system and prior to non-local maintenance or diagnostic services, sanitizes the component(with regard to organizational information) before removal from organizational facilities, and after the service is performed, inspects and sanitizes the component(with regard to potentially malicious software) before reconnecting the component to the information system.
MA-4(3) — DCSA Supplemental Guidance
If non-local maintenance is required from a service or organization that does not provide the same level of security required for the IS being maintained, the system must be sanitized(see the Media Protection(MP) section) and placed in a standalone configuration prior to establishment of the remote connection. If the system cannot be sanitized (e.g., due to a system crash), non-local maintenance is not permitted. Recommended Continuous Monitoring Frequency: Annual
MA-4(3) — NIST 800-53 Supplemental Guidance
Comparable security capability on information systems, diagnostic tools, and equipment providing maintenance services implies that the implemented security controls on those systems, tools, and equipment are at least as comprehensive as the controls on the information system being serviced. Related controls: MA-3, SA-12, SI-3, SI-7.
MA-4(6) — DAAPM Appendix A Control Verbiage
The information system implements cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications.
MA-4(6) — DCSA Supplemental Guidance
Strong identification and authentication techniques (i.e., two-factor authentication) shall be employed in the establishment of non-local maintenance and diagnostic sessions. Recommended Continuous Monitoring Frequency: Annual
MA-4(7) — DAAPM Appendix A Control Verbiage
The information system implements remote disconnect verification at the termination of nonlocal maintenance and diagnostic sessions.
MA-4(7) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
MA-4(7) — NIST 800-53 Supplemental Guidance
Remote disconnect verification ensures that remote connections from nonlocal maintenance sessions have been terminated and are no longer available for use. Related control: SC-13.
MA-5 — DAAPM Appendix A Control Verbiage
The organization: a. Establishes a process for maintenance personnel authorization and maintains a list of authorized maintenance organizations or personnel; b. Ensures that non-escorted personnel performing maintenance on the information system have required access authorizations; and c. Designates organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations.
MA-5 — DCSA Supplemental Guidance
If appropriately cleared personnel are unavailable to perform maintenance, an uncleared or lower-cleared person may be employed provided a fully cleared, trained, and technically qualified escort monitors and records their activities in a maintenance log. Recommended Continuous Monitoring Frequency: Annual
MA-5 — NIST 800-53 Supplemental Guidance
This control applies to individuals performing hardware or software maintenance on organizational information systems, while PE-2 addresses physical access for individuals whose maintenance duties place them within the physical protection perimeter of the systems (e.g., custodial staff, physical plant maintenance personnel). Technical competence of supervising individuals relates to the maintenance performed on the information systems while having required access authorizations refers to maintenance on and near the systems. Individuals not previously identified as authorized maintenance personnel, such as information technology manufacturers, vendors, systems integrators, and consultants, may require privileged access to organizational information systems, for example, when required to conduct maintenance activities with little or no notice. Based on organizational assessments of risk, organizations may issue temporary credentials to these individuals. Temporary credentials may be for one-time use or for very limited time periods. Related controls: AC-2, IA-8, MP-2, PE-2, PE-3, PE-4, RA-3.
MA-5(1) — DAAPM Appendix A Control Verbiage
The organization: (a) Implements procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements: (1) Maintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the information system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified; (2) Prior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances or formal access approvals, all volatile information storage components within the information system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and (b) Develops and implements alternate security safeguards in the event an information system component cannot be sanitized, removed, or disconnected from the system.
MA-5(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
MA-5(1) — NIST 800-53 Supplemental Guidance
This control enhancement denies individuals who lack appropriate security clearances (i.e., individuals who do not possess security clearances or possess security clearances at a lower level than required) or who are not U.S. citizens, visual and electronic access to any classified information, Controlled Unclassified Information(CUI), or any other sensitive information contained on organizational information systems. Procedures for the use of maintenance personnel can be documented in security plans for the information systems. Related controls: MP-6, PL-2.
MP-1 — DAAPM Appendix A Control Verbiage
The organization: a. Develops, documents, and disseminates to all stakeholders 1. A media protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and 2. Procedures to facilitate the implementation of the media protection policy and associated media protection controls; and b. Reviews and updates the current: 1. Media protection policy at least Annually; and 2. Media protection procedures at least Annually.
MP-1 — DCSA Supplemental Guidance
Government issued media may only be used in the performance of assigned duties. Personal use of government issued removable media is prohibited. Personally owned media are prohibited on all information systems. Media which is not write-protected and is placed into an IS must be protected at the highest level of information on the system until reviewed and validated. Recommended Continuous Monitoring Frequency: Annual
MP-1 — NIST 800-53 Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the MP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures. Related control: PM-9.
MP-2 — DAAPM Appendix A Control Verbiage
The organization restricts access to all types of digital and non-digital media to authorized personnel.
MP-2 — DCSA Supplemental Guidance
All digital media, and the use of such media, must be authorized by the designee, prior to being introduced. Organizations are required to ensure the local facility SOP defines personnel/roles and security measures used to control access to media (i.e. centralized safe, media sign-out logs, media accountability logs, entry/exit procedures, etc.). Maintain a list of authorized users and their respective authorized use privileges. Personally-owned thumb drives, CDs, and DVDs are prohibited from entering accredited spaces without approval. This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Annual
MP-2 — NIST 800-53 Supplemental Guidance
Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Restricting non-digital media access includes, for example, denying access to patient medical records in a community hospital unless the individuals seeking access to such records are authorized healthcare providers. Restricting access to digital media includes, for example, limiting access to design specifications stored on compact disks in the media library to the project leader and the individuals on the development team. Related controls: AC-3, IA-2, MP-4, PE-2, PE-3, PL-2.
MP-3 — DAAPM Appendix A Control Verbiage
The organization: a. Marks information system media indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and b. Exempts new, unused, factory-sealed media from marking as long as the media remains within the locked media cabinet or storage area.
MP-3 — DCSA Supplemental Guidance
All information storage media must be appropriately marked and protected to prevent the loss of information through poor security procedures. Likewise, to prevent security compromises, all output products(to include printed material) must be appropriately marked and protected. Each user is ultimately responsible for the marking, handling, and storage of media and paper products within their assigned area of responsibility. In addition, security markings will be displayed on all servers, server cabinets, desktops/laptops, removable/external hard drives, monitors and printers. Thin clients must also be marked. In the case of multi-level devices the security marking shall reflect the highest classification level authorized to be processed. All IS storage media shall have external security markings clearly indicating the classification of the information. All information storage media will be marked. [MP-3(a)] See the NISPOM for additional media marking information. Note that NIST makes a distinction between security marking' and security labeling' as indicated in the supplemental guidance above. All media will be marked in accordance with the NISPOM. All information storage media must be appropriately marked and protected to prevent the loss of information through poor security procedures. Likewise, to prevent security compromises, all output products(to include printed material) must be appropriately marked and protected. Each user is ultimately responsible for the marking, handling, and storage of media and paper products within their assigned area of responsibility. In addition, security markings will be displayed on all servers, server cabinets, desktops/laptops, removable/external hard drives, monitors and printers. Thin clients must be marked to the highest classification level authorized to be processed. Additionally, media labels shall not cover the serial number of the device or account control numbers. Labels made specifically for CD/DVDs may be applied directly to CD/DVDs. All required information may also be written on the media with a paint-pen, media label maker or permanent marker. Recommended Continuous Monitoring Frequency: Annual
MP-3 — NIST 800-53 Supplemental Guidance
The term security marking refers to the application/use of human-readable security attributes. The term security labeling refers to the application/use of security attributes with regard to internal data structures within information systems(see AC-16). Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Security marking is generally not required for media containing information determined by organizations to be in the public domain or to be publicly releasable. However, some organizations may require markings for public information indicating that the information is publicly releasable. Marking of information system media reflects applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Related controls: AC-16, PL-2, RA-3.
MP-4 — DAAPM Appendix A Control Verbiage
The organization: a. Physically controls and securely stores all digital media and/or non-digital media containing classified information within an area approved for processing and storing classified information; and b. Protects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures.
MP-4 — DCSA Supplemental Guidance
Commercial software used to update systems or maintain proof of license/purchase may be handled separately from the facility tracking log or system. This media must be properly stored in a separate container/cabinet and treated as unclassified provided the write protection or verification of closed session was verified by IT personnel. Commercial media still in shrink-wrap may remain this way and be secured in the same cabinet as other commercial media. All media shall be accounted for under the direct management of the Top Secret Control Officer(TSCO) in accordance with the NISPOM, section 5-20 Recommended Continuous Monitoring Frequency: Annual
MP-4 — NIST 800-53 Supplemental Guidance
Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Physically controlling information system media includes, for example, conducting inventories, ensuring procedures are in place to allow individuals to check out and return media to the media library, and maintaining accountability for all stored media. Secure storage includes, for example, a locked drawer, desk, or cabinet, or a controlled media library. The type of media storage is commensurate with the security category and/or classification of the information residing on the media. Controlled areas are areas for which organizations provide sufficient physical and procedural safeguards to meet the requirements established for protecting information and/or information systems. For media containing information determined by organizations to be in the public domain, to be publicly releasable, or to have limited or no adverse impact on organizations or individuals if accessed by other than authorized personnel, fewer safeguards may be needed. In these situations, physical access controls provide adequate protection. Related controls: CP-6, CP-9, MP-2, MP-7, PE-3.
MP-5 — DAAPM Appendix A Control Verbiage
The organization: a. Protects and controls all types of digital and non-digital media during transport outside of controlled areas using AO approved security measures; b. Maintains accountability for information system media during transport outside of controlled areas; c. Documents activities associated with the transport of information system media; and d. Restricts the activities associated with the transport of information system media to authorized personnel.
MP-5 — DCSA Supplemental Guidance
Approved procedures shall be implemented to address mobile devices traveling to and returning from a location that the organization deems to be of significant risk. Information should be transported electronically whenever possible. When electronic transport is not possible, movement of all media shall be coordinated through the appropriate security personnel(ISSM/ISSO). Activities associated with the transport of media shall be documented by the organization. Recommended Continuous Monitoring Frequency: Annual
MP-5 — NIST 800-53 Supplemental Guidance
Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. This control also applies to mobile devices with information storage capability (e.g., smart phones, tablets, E-readers), that are transported outside of controlled areas. Controlled areas are areas or spaces for which organizations provide sufficient physical and/or procedural safeguards to meet the requirements established for protecting information and/or information systems. Physical and technical safeguards for media are commensurate with the security category or classification of the information residing on the media. Safeguards to protect media during transport include, for example, locked containers and cryptography. Cryptographic mechanisms can provide confidentiality and integrity protections depending upon the mechanisms used. Activities associated with transport include the actual transport as well as those activities such as releasing media for transport and ensuring that media enters the appropriate transport processes. For the actual transport, authorized transport and courier personnel may include individuals from outside the organization (e.g., U.S. Postal Service or a commercial transport or delivery service). Maintaining accountability of media during transport includes, for example, restricting transport activities to authorized personnel, and tracking and/or obtaining explicit records of transport activities as the media moves through the transportation system to prevent and detect loss, destruction, or tampering. Organizations establish documentation requirements for activities associated with the transport of information system media in accordance with organizational assessments of risk to include the flexibility to define different record-keeping methods for the different types of media transport as part of an overall system of transport-related records. Related controls: AC-19, CP-9, MP-3, MP-4, RA-3, SC-8, SC-13, SC-28.
MP-5(3) — DAAPM Appendix A Control Verbiage
The organization employs an identified custodian during transport of information system media outside of controlled areas.
MP-5(3) — DCSA Supplemental Guidance
Transport of media shall be restricted to an authorized custodian by means of a courier card/letter. Recommended Continuous Monitoring Frequency: Annual
MP-5(3) — NIST 800-53 Supplemental Guidance
Identified custodians provide organizations with specific points of contact during the media transport process and facilitate individual accountability. Custodial responsibilities can be transferred from one individual to another as long as an unambiguous custodian is identified at all times.
MP-5(4) — DAAPM Appendix A Control Verbiage
The information system implements cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas.
MP-5(4) — DCSA Supplemental Guidance
Cryptographic mechanisms during transport outside of controlled areas shall be either NSA-approved or FIPS 140-2 compliant. Recommended Continuous Monitoring Frequency: Annual
MP-5(4) — NIST 800-53 Supplemental Guidance
This control enhancement applies to both portable storage devices (e.g., USB memory sticks, compact disks, digital video disks, external/removable hard disk drives) and mobile devices with storage capability (e.g., smart phones, tablets, E-readers). Related control: MP-2.
MP-6 — DAAPM Appendix A Control Verbiage
The organization: a. Sanitizes all digital and non-digital media prior to disposal, release out of organizational control, or release for reuse using the Clearing and Sanitization Matrix, NSA/CSS Policy Manual 9-12</del>,Storage Device Sanitization Manual(SDDM), and NSA/CSS Degausser Evaluated Products List(EPL) in accordance with applicable federal and organizational standards and policies; and b. Employs sanitization mechanisms with the strength and integrity commensurate with the security category or classification of the information.
MP-6 — DCSA Supplemental Guidance
Electronic media that has been previously classified under one program may be reused by another program of the same classification level or higher. The media must follow authorized procedures prior to reuse. Best practices for wiping magnetic media or SSD for reuse include: a. One time overwrite utilizing a known pattern and an AO approved product, and then verifying that the overwrite was successful utilizing a hex editor tool from the first to last sector; or b. Encrypt the whole media with an AO approved whole disk encryption(WDE) tool and then destroy the key. For any media type, the procedures must ensure all labels or evidence of the previous program have been removed prior to handoff. Recommended Continuous Monitoring Frequency: Annual
MP-6 — NIST 800-53 Supplemental Guidance
This control applies to all information system media, both digital and non-digital, subject to disposal or reuse, whether or not the media is considered removable. Examples include media found in scanners, copiers, printers, notebook computers, workstations, network components, and mobile devices. The sanitization process removes information from the media such that the information cannot be retrieved or reconstructed. Sanitization techniques, including clearing, purging, cryptographic erase, and destruction, prevent the disclosure of information to unauthorized individuals when such media is reused or released for disposal. Organizations determine the appropriate sanitization methods recognizing that destruction is sometimes necessary when other methods cannot be applied to media requiring sanitization. Organizations use discretion on the employment of approved sanitization techniques and procedures for media containing information deemed to be in the public domain or publicly releasable, or deemed to have no adverse impact on organizations or individuals if released for reuse or disposal. Sanitization of non-digital media includes, for example, removing a classified appendix from an otherwise unclassified document, or redacting selected sections or words from a document by obscuring the redacted sections/words in a manner equivalent in effectiveness to removing them from the document. NSA standards and policies control the sanitization process for media containing classified information. Related controls: MA-2, MA-4, RA-3, SC-4.
MP-6(1) — DAAPM Appendix A Control Verbiage
The organization reviews, approves, tracks, documents, and verifies media sanitization and disposal actions.
MP-6(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
MP-6(1) — NIST 800-53 Supplemental Guidance
Organizations review and approve media to be sanitized to ensure compliance with records-retention policies. Tracking/documenting actions include, for example, listing personnel who reviewed and approved sanitization and disposal actions, types of media sanitized, specific files stored on the media, sanitization methods used, date and time of the sanitization actions, personnel who performed the sanitization, verification actions taken, personnel who performed the verification, and disposal action taken. Organizations verify that the sanitization of the media was effective prior to disposal. Related control: SI-12.
MP-6(2) — DAAPM Appendix A Control Verbiage
The organization tests sanitization equipment and procedures at least Annually to verify that the intended sanitization is being achieved.
MP-6(2) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
MP-6(2) — NIST 800-53 Supplemental Guidance
Testing of sanitization equipment and procedures may be conducted by qualified and authorized external entities (e.g., other federal agencies or external service providers).
MP-6(3) — DAAPM Appendix A Control Verbiage
The organization applies nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the information system under the following circumstances: for initial sanitization of media prior to first use and not when the contents of the digital media require retention.
MP-6(3) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
MP-6(3) — NIST 800-53 Supplemental Guidance
This control enhancement applies to digital media containing classified information and Controlled Unclassified Information(CUI). Portable storage devices can be the source of malicious code insertions into organizational information systems. Many of these devices are obtained from unknown and potentially untrustworthy sources and may contain malicious code that can be readily transferred to information systems through USB ports or other entry portals. While scanning such storage devices is always recommended, sanitization provides additional assurance that the devices are free of malicious code to include code capable of initiating zero-day attacks. Organizations consider nondestructive sanitization of portable storage devices when such devices are first purchased from the manufacturer or vendor prior to initial use or when organizations lose a positive chain of custody for the devices. Related control: SI-3.
MP-7 — DAAPM Appendix A Control Verbiage
The organization restricts the use of certain types of media on DSS authorized Information Systems using technical safeguards.
MP-7 — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Annual
MP-7 — NIST 800-53 Supplemental Guidance
Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. This control also applies to mobile devices with information storage capability (e.g., smart phones, tablets, E-readers). In contrast to MP-2,which restricts user access to media, this control restricts the use of certain types of media on information systems, for example, restricting/prohibiting the use of flash drives or external hard disk drives. Organizations can employ technical and nontechnical safeguards (e.g., policies, procedures, rules of behavior) to restrict the use of information system media. Organizations may restrict the use of portable storage devices, for example, by using physical cages on workstations to prohibit access to certain external ports, or disabling/removing the ability to insert, read or write to such devices. Organizations may also limit the use of portable storage devices to only approved devices including, for example, devices provided by the organization, devices provided by other approved organizations, and devices that are not personally owned. Finally, organizations may restrict the use of portable storage devices based on the type of device, for example, prohibiting the use of writeable, portable storage devices, and implementing this restriction by disabling or removing the capability to write to such devices. Related controls: AC-19, PL-4.
MP-7(1) — DAAPM Appendix A Control Verbiage
The organization prohibits the use of portable storage devices in organizational information systems when such devices have no identifiable owner.
MP-7(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
MP-7(1) — NIST 800-53 Supplemental Guidance
Requiring identifiable owners (e.g., individuals, organizations, or projects) for portable storage devices reduces the risk of using such technologies by allowing organizations to assign responsibility and accountability for addressing known vulnerabilities in the devices (e.g., malicious code insertion). Related control: PL-4.
MP-8 — DAAPM Appendix A Control Verbiage
The organization: a. Establishes a media downgrading process that includes employing downgrading mechanisms based on the classification of the media; b. Ensures that the information system media downgrading process is commensurate with the security category and/or classification level of the information to be removed and the access authorizations of the potential recipients of the downg+D434raded information; c. Identifies the IS media requiring downgrading; and d. Downgrades the identified information system media using the established process.
MP-8 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
MP-8 — NIST 800-53 Supplemental Guidance
This control applies to all information system media, digital and non-digital, subject to release outside of the organization, whether or not the media is considered removable. The downgrading process, when applied to system media, removes information from the media, typically by security category or classification level, such that the information cannot be retrieved or reconstructed. Downgrading of media includes redacting information to enable wider release and distribution. Downgrading of media also ensures that empty space on the media (e.g., slack space within files) is devoid of information.
MP-8(1) — DAAPM Appendix A Control Verbiage
The organization documents information system media downgrading actions.
MP-8(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
MP-8(1) — NIST 800-53 Supplemental Guidance
Organizations can document the media downgrading process by providing information such as the downgrading technique employed, the identification number of the downgraded media, and the identity of the individual that authorized and/or performed the downgrading action.
MP-8(2) — DAAPM Appendix A Control Verbiage
The organization employs program-defined tests of downgrading equipment and procedures to verify correct performance at least Annually.
MP-8(2) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
MP-8(2) — NIST 800-53 Supplemental Guidance
MP-8(4) — DAAPM Appendix A Control Verbiage
The organization downgrades information system media containing classified information prior to release to individuals without required access authorizations in accordance with NSA standards and policies.
MP-8(4) — DCSA Supplemental Guidance
The applicability of this control is dependent upon the need of a system downgrade or tech transfer (e.g., based on an authorized administrative information downgrade(classification/program levels) by an Original Classification Authority(OCA)). Recommended Continuous Monitoring Frequency: Annual
MP-8(4) — NIST 800-53 Supplemental Guidance
Downgrading of classified information uses approved sanitization tools, techniques, and procedures to transfer information confirmed to be unclassified from classified information systems to unclassified media.
PE-1 — DAAPM Appendix A Control Verbiage
The organization: a. Develops, documents, and disseminates to all stakeholders 1. A physical and environmental protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and 2. Procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls; and b. Reviews and updates the current: 1. Physical and environmental protection policy at least Annually; and 2. Physical and environmental protection procedures at least Annually.
PE-1 — DCSA Supplemental Guidance
IS authorized by DSS must be physically located and operated in an area of the facility under DSS cognizance. IS authorized by DSS must not be moved or relocated to a physical space not under DSS cognizance. BLUF: DSS accredited systems should not be located, operated, or moved to SCIFs. Recommended Continuous Monitoring Frequency: Annual
PE-1 — NIST 800-53 Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PE family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures. Related control: PM-9.
PE-2 — DAAPM Appendix A Control Verbiage
The organization: a. Develops, approves, and maintains a list of individuals with authorized access to the facility where the information system resides; b. Issues authorization credentials for facility access; c. Reviews the access list detailing authorized facility access by individuals Annually, or as policy and procedures dictate; and d. Removes individuals from the facility access list when access is no longer required.
PE-2 — DCSA Supplemental Guidance
Ensure Support Systems are controlled within and managed by cleared individuals. Support Systems include card/badge creation systems, card reader systems, alarm systems, and music sound cover systems. These systems may be addressed in the Fixed Facility Checklist(FFC) or Facility SOP. Recommended Continuous Monitoring Frequency: Annual
PE-2 — NIST 800-53 Supplemental Guidance
This control applies to organizational employees and visitors. Individuals (e.g., employees, contractors, and others) with permanent physical access authorization credentials are not considered visitors. Authorization credentials include, for example, badges, identification cards, and smart cards. Organizations determine the strength of authorization credentials needed (including level of forge-proof badges, smart cards, or identification cards) consistent with federal standards, policies, and procedures. This control only applies to areas within facilities that have not been designated as publicly accessible. Related controls: PE-3, PE-4, PS-3.
PE-2(3) — DAAPM Appendix A Control Verbiage
The organization restricts unescorted access to the facility where the information system resides to personnel with security clearances for all information contained within the system; formal access authorizations for all information contained within the system; need for access to all information contained within the system; approval as defined by the authorized System Security Plan and local security policy (i.e., Facility SOP).
PE-2(3) — DCSA Supplemental Guidance
Consider tailoring in PE-5(2) for an environment where not everyone hasformal access to all information to restrict access to printer output. Alsoconsider tailoring in PE-6(2) for multi-system server rooms. Recommended Continuous Monitoring Frequency: Annual
PE-2(3) — NIST 800-53 Supplemental Guidance
Due to the highly sensitive nature of classified information stored within certain facilities, it is important that individuals lacking sufficient security clearances, access approvals, or need to know, be escorted by individuals with appropriate credentials to ensure that such information is not exposed or otherwise compromised. Related controls: PS-2, PS-6.
PE-3 — DAAPM Appendix A Control Verbiage
The organization: a. Enforces physical access authorizations at entry/exit points to the facility where the information system resides by; 1. Verifying individual access authorizations before granting access to the facility; and 2. Controlling ingress/egress to the facility using program-defined physical access control systems/devices; b. Maintains physical access audit logs for entry/exit points; c. Provides security safeguards to control access to areas within the facility officially designated as publicly accessible; d. Escorts visitors and monitors visitor activity for all circumstances requiring visitor escorts and monitoring; e. Secures keys, combinations, and other physical access devices; f. Inventories physical access devices at least Annually; and g. Changes combinations and keys when considered necessary by the FSO or CSA and/or when keys are lost, combinations are compromised, or individuals are transferred or terminated.
PE-3 — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Quarterly
PE-3 — NIST 800-53 Supplemental Guidance
This control applies to organizational employees and visitors. Individuals (e.g., employees, contractors, and others) with permanent physical access authorization credentials are not considered visitors. Organizations determine the types of facility guards needed including, for example, professional physical security staff or other personnel such as administrative staff or information system users. Physical access devices include, for example, keys, locks, combinations, and card readers. Safeguards for publicly accessible areas within organizational facilities include, for example, cameras, monitoring by guards, and isolating selected information systems and/or system components in secured areas. Physical access control systems comply with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. The Federal Identity, Credential, and Access Management Program provides implementation guidance for identity, credential, and access management capabilities for physical access control systems. Organizations have flexibility in the types of audit logs employed. Audit logs can be procedural (e.g., a written log of individuals accessing the facility and when such access occurred), automated (e.g., capturing ID provided by a PIV card), or some combination thereof. Physical access points can include facility access points, interior access points to information systems and/or components requiring supplemental access controls, or both. Components of organizational information systems (e.g., workstations, terminals) may be located in areas designated as publicly accessible with organizations safeguarding access to such devices. Related controls: AU-2, AU-6, MP-2, MP-4, PE-2, PE-4, PE-5, PS-3, RA-3.
PE-3(1) — DAAPM Appendix A Control Verbiage
The organization enforces physical access authorizations to the information system in addition to the physical access controls for the facility for those areas where there is a concentration of IS components (e.g., server rooms, media storage areas, etc.).
PE-3(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PE-3(1) — NIST 800-53 Supplemental Guidance
This control enhancement provides additional physical security for those areas within facilities where there is a concentration of information system components (e.g., server rooms, media storage areas, data and communications centers). Related control: PS-2.
PE-3(2) — DAAPM Appendix A Control Verbiage
The organization performs security checks at a frequency defined in the authorized SSP at the physical boundary of the facility or information system for unauthorized exfiltration of information or removal of information system components.
PE-3(2) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PE-3(2) — NIST 800-53 Supplemental Guidance
Organizations determine the extent, frequency, and/or randomness of security checks to adequately mitigate risk associated with exfiltration. Related controls: AC-4, SC-7.
PE-3(3) — DAAPM Appendix A Control Verbiage
The organization employs guards and/or alarms to monitor every physical access point to the facility where the information system resides 24 hours per day, 7 days per week.
PE-3(3) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PE-4 — DAAPM Appendix A Control Verbiage
The organization controls physical access to information system distribution and transmission lines within organizational facilities using program-defined security safeguards.
PE-4 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PE-4 — NIST 800-53 Supplemental Guidance
Physical security safeguards applied to information system distribution and transmission lines help to prevent accidental damage, disruption, and physical tampering. In addition, physical safeguards may be necessary to help prevent eavesdropping or in transit modification of unencrypted transmissions. Security safeguards to control physical access to system distribution and transmission lines include, for example: (i) locked wiring closets; (ii) disconnected or locked spare jacks; and/or (iii) protection of cabling by conduit or cable trays. Related controls: MP-2, MP-4, PE-2, PE-3, PE-5, SC-7, SC-8.
PE-5 — DAAPM Appendix A Control Verbiage
The organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output.
PE-5 — DCSA Supplemental Guidance
Keyboard/Video/Mouse Switch Usage The application of multi-use or KVM switches provides substantial benefits in cost reduction, space utilization, and operations enhancement when properly procured, installed, configured, and managed. The introduction and use of these devices in a classified environment, however, presents a moderate degree of risk to classified or sensitive information and systems. To minimize the risk of inadvertently entering information onto the wrong network, the following requirements shall be satisfied when using KVM switches in Closed Areas: a. KVM switches shall be authorized via approved configuration control processes and be annotated in the appropriate system documentation. b. The ISSM shall approve the connection of any information system to a KVM switch. When connecting a KVM switch to systems/networks with multiple AOs, each AO's approval shall be obtained prior to installation. Best practice dictates that a KVM switch used across classifications or security boundaries should conform to the NIAP approved Protection Profiles(PP) for peripheral sharing switches and be identified on the NIAP Product Compliant List(PCL) or the NIAP Validated Products List(VPL). Products that have been moved to the NIAP Archived Products List may continue to be used if already deployed within an organization's IT infrastructure. c. KVM switches shall be installed in facilities approved for operation of the highest classification information system by authorized SAs or maintenance personnel. d. USB keyboard/mouse connections must only allow Human Interface Device(HID) type (i.e., manual operation) connections. Systems using KVM switches shall not use keyboards or mice with wireless technology. e. Positive and deliberate operator action is required to switch between connected systems; switches that automatically scan and switch between systems are not authorized; hot key switching capability is only authorized when all connected systems operate at the same classification level and accesses. Note: A KVM switch between components of the same system (e.g., between a file server and a mail server) need not be certified unless otherwise indicated by the CTTA. f. Systems using KVM switches shall not employ smart or memory enhanced/data retaining keyboards, monitors or mice. These types of interfaces provide memory retention that creates a risk of data transfer between systems of different classifications. g. Systems joined by multi-position switches shall utilize desktop backgrounds or banner software that display classification banners at the top and bottom. The classification banner will state the overall classification for the system in large bold type, and the banner background will be in a solid color that matches the classification (e.g., TSSCI-yellow, Top Secret-orange, Secret-red, Confidential-blue, Unclassified-green). When systems have a similar classification level (e.g., SECRET and SECRETNOFORN), but require separation for accessibility, releasability or other constraints, use of unique colors for the different systems is allowed. h. Screen lock applications shall display the maximum classification of the system currently logged into and shall require the user to re-authenticate to unlock the screen. i. Data of a higher classification shall not be introduced into a system of a lower classification. j. The use of switchboxes for print services between classification and compartment levels is prohibited. Switchboxes may be used between the same classification and compartment levels for print services. k. Users shall ensure different/unique passwords are used for each system connected through a multi-position switch. l. ISSM/ISSO/Supervisors shall ensure user training and compliance to the requirements associated with the introduction and use of multi-position switches. Keyboard/Video/Mouse Switch Configuration All KVM switch positions, cables, and connectors shall be clearly marked with the appropriate classification labels and corresponding color. Refer to Figure 3-2</del>,SF 700 Series Labels. The ISSM/ISSO is responsible for ensuring consistent port order and identification of all KVM switches within the Closed Areas. Where possible, a blank port shall be used between unclassified and classified networks. In addition, if multiple ports are unused, blank ports shall be placed between classification levels whenever possible. There is no requirement to apply tamper-resistant tape or other physical mechanisms to KVM switches. Recommended Continuous Monitoring Frequency: Annual
PE-5 — NIST 800-53 Supplemental Guidance
Controlling physical access to output devices includes, for example, placing output devices in locked rooms or other secured areas and allowing access to authorized individuals only, and placing output devices in locations that can be monitored by organizational personnel. Monitors, printers, copiers, scanners, facsimile machines, and audio devices are examples of information system output devices. Related controls: PE-2, PE-3, PE-4, PE-18.
PE-5(2) — DAAPM Appendix A Control Verbiage
a. Controls physical access to output from [Assignment: organization-defined output devices]; and b. Links individual identity to receipt of the output from the device.
PE-5(2) — DCSA Supplemental Guidance
If Foreign Nationals are located in a facility, output devices of US-only systems must be under constant observation by cleared US personnel. Recommended Continuous Monitoring Frequency: Annual
PE-5(2) — NIST 800-53 Supplemental Guidance
Controlling physical access to selected output devices includes, for example, installing security functionality on printers, copiers, and facsimile machines that allows organizations to implement authentication (e.g., using a PIN or hardware token) on output devices prior to the release of output to individuals. JSIG: Implementation of this control for printer outputs is appropriate for environments where formal access of all users is not common.
PE-5(3) — DAAPM Appendix A Control Verbiage
The organization marks all information system output devices indicating the appropriate security marking of the information permitted to be output from the device.
PE-5(3) — DCSA Supplemental Guidance
If Foreign Nationals are located in a facility, output devices of US-only systems must be under constant observation by cleared US personnel. Recommended Continuous Monitoring Frequency: Annual
PE-5(3) — NIST 800-53 Supplemental Guidance
Outputs devices include, for example, printers, monitors, facsimile machines, scanners, copiers, and audio devices. This control enhancement is generally applicable to information system output devices other than mobiles devices.
PE-6 — DAAPM Appendix A Control Verbiage
The organization: a. Monitors physical access to the facility where the information system resides to detect and respond to physical security incidents; b. Reviews physical access logs at least every 90 days or as required in the authorized SSP and upon occurrence of physical access incidents and/or potential indications of events; and c. Coordinates results of reviews and investigations with the organizational incident response capability.
PE-6 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PE-6 — NIST 800-53 Supplemental Guidance
Organizational incident response capabilities include investigations of and responses to detected physical security incidents. Security incidents include, for example, apparent security violations or suspicious physical access activities. Suspicious physical access activities include, for example: (i) accesses outside of normal work hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for unusual lengths of time; and (iv) out-of-sequence accesses. Related controls: CA-7, IR-4, IR-8.
PE-6(1) — DAAPM Appendix A Control Verbiage
The organization monitors physical intrusion alarms and surveillance equipment.
PE-6(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PE-6(1) — NIST 800-53 Supplemental Guidance
PE-8 — DAAPM Appendix A Control Verbiage
The organization: a. Maintains visitor access records to the facility where the information system resides for the period required by NISPOM(at least 2 years); and b. Reviews visitor access records at least every 90 days.
PE-8 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PE-8 — NIST 800-53 Supplemental Guidance
Visitor access records include, for example, names and organizations of persons visiting, visitor signatures, forms of identification, dates of access, entry and departure times, purposes of visits, and names and organizations of persons visited. Visitor access records are not required for publicly accessible areas.
PE-12 — DAAPM Appendix A Control Verbiage
The organization employs and maintains automatic emergency lighting for the information system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility.
PE-12 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PE-12 — NIST 800-53 Supplemental Guidance
This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms. Related controls: CP-2, CP-7.
PE-13 — DAAPM Appendix A Control Verbiage
The organization employs and maintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source.
PE-13 — DCSA Supplemental Guidance
As described in DoD Manual(DoDM) 5205.07-V3, fire detection systems shall not be tied into the facility's IDS. The fire suppression and detection devices/systems, with the exception of tactical environments, shall activate automatically and notify the organization and emergency responders in the event of a fire. Automatic fire suppression capability is required when the facility is not staffed on a continuous basis. Additionally, organizations shall ensure the facility undergoes, in accordance with local regulations, fire marshal inspections and promptly resolves identified deficiencies. Recommended Continuous Monitoring Frequency: Annual
PE-13 — NIST 800-53 Supplemental Guidance
This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms. Fire suppression and detection devices/systems include, for example, sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke detectors.
PE-14 — DAAPM Appendix A Control Verbiage
The organization: a. Maintains temperature and humidity levels within the facility where the information system resides at acceptable levels, as defined in the authorized SSP; and b. Monitors temperature and humidity levels continuously or as defined in the authorized SSP.
PE-14 — DCSA Supplemental Guidance
In addition, organizations shall ensure that temperature and humidity controls with remote maintenance and testing(RMAT) capability are properly configured for use by disabling automatic or remote connection capability. When remote connection capability is required for central management of the HVAC system, it shall be identified on the FFC and approved by the CSA. Organizations shall ensure that temperature and humidity controls with RMAT capability are properly configured for use in a facility by disabling automatic or remote connection capability. When remote connection capability is required for central management of the HVAC system, it shall be identified on the FFC and approved by the CSA. Recommended Continuous Monitoring Frequency: Annual
PE-14 — NIST 800-53 Supplemental Guidance
This control applies primarily to facilities containing concentrations of information system resources, for example, data centers, server rooms, and mainframe computer rooms. Related control: AT-3.
PE-15 — DAAPM Appendix A Control Verbiage
The organization protects the information system from damage resulting from water leakage by providing master shutoff or isolation valves that are accessible, working properly, and known to key personnel.
PE-15 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PE-15 — NIST 800-53 Supplemental Guidance
This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms. Isolation valves can be employed in addition to or in lieu of master shutoff valves to shut off water supplies in specific areas of concern, without affecting entire organizations. Related control: AT-3.
PE-16 — DAAPM Appendix A Control Verbiage
The organization authorizes, monitors, and controls [Assignment: organization-defined types of information system components] entering and exiting the facility and maintains records of those items.
PE-16 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Semi-Annual
PE-16 — NIST 800-53 Supplemental Guidance
Effectively enforcing authorizations for entry and exit of information system components may require restricting access to delivery areas and possibly isolating the areas from the information system and media libraries. Related controls: CM-3, MA-2, MA-3, MP-5, SA-12.
PE-19 — DAAPM Appendix A Control Verbiage
The organization protects the information system from information leakage due to electromagnetic signals emanations.
PE-19 — DCSA Supplemental Guidance
Information systems, peripherals, associated data communications, and networks(planned or installed) that may be used to process national security or security-related information may need to meet certain national TEMPEST policies and procedures. The objective is to minimize the risk of Foreign Intelligence Services(FIS) exploiting unintentional emanations from intelligence systems. TEMPEST is a short name referring to investigations and studies of compromising emanations. Please refer to CNSSI 7003. TEMPEST requirements are contractually mandated. It is the responsibility of the IO to identify in writing what TEMPEST countermeasures may be required. Reference TEMPEST requirements in NISPOM 11-101. Recommended Continuous Monitoring Frequency: Annual
PE-19 — NIST 800-53 Supplemental Guidance
Information leakage is the intentional or unintentional release of information to an untrusted environment from electromagnetic signals emanations. Security categories or classifications of information systems(with respect to confidentiality) and organizational security policies guide the selection of security controls employed to protect systems against information leakage due to electromagnetic signals emanations.
PE-19(1) — DAAPM Appendix A Control Verbiage
The organization ensures that information system components, associated data communications, and networks are protected in accordance with national emissions and TEMPEST policies and procedures based on the security category or classification of the information.
PE-19(1) — DCSA Supplemental Guidance
TEMPEST requirements are contractually mandated. It is the responsibility of the IO to identify in writing what TEMPEST countermeasures may be required. Reference TEMPEST requirements in NISPOM 11-101. Recommended Continuous Monitoring Frequency: Annual
PE-19(1) — NIST 800-53 Supplemental Guidance
In accordance with NISPOM Chapter 11-101, TEMPEST requirements are imposed by contract.
PL-1 — DAAPM Appendix A Control Verbiage
The organization: a. Develops, documents, and disseminates to all stakeholders 1. A security planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and 2. Procedures to facilitate the implementation of the security planning policy and associated security planning controls; and b. Reviews and updates the current: 1. Security planning policy Annually; and 2. Security planning procedures Annually.
PL-1 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PL-1 — NIST 800-53 Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PL family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures. Related control: PM-9.
PL-2 — DAAPM Appendix A Control Verbiage
The organization: a. Develops a System Security Plan (SSP) base on the following requirements: 1. Conforms to the DSS provided SSP template; 2. Explicitly defines the authorization boundary for the system; 3. Describes the operational context of the information system in terms of missions and business processes; 4. Provides the impact levels for Confidentiality, Integrity and Availability of the information system including supporting rationale; 5. Describes relationships with or connections to other information systems, including ISAs and MOUs, as applicable; 6. Identifies controls tailored in or tailored out; 7. Identifies any exceptions, which denotes a control or part of a control that is not met. Exceptions should also be captured on the POA&M unless otherwise directed by the AO; 8. Identifies the type of control (common, system specific, or hybrid) and describes how the security controls are implemented or planned to be implemented including a rationale for any tailoring and supplementation decisions; 9. Updated to address changes to the IS/operations environment or problems identified during plan implementation or security control assessments; 10. Protected from unauthorized disclosure and modification. SSP shall be classified in accordance with the associated Security Classification Guide (SCG); and 11. Approved by the AO through coordination with the ISSP prior to plan implementation.
PL-2 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PL-2 — NIST 800-53 Supplemental Guidance
Security plans relate security requirements to a set of security controls and control enhancements. Security plans also describe, at a high level, how the security controls and control enhancements meet those security requirements, but do not provide detailed, technical descriptions of the specific design or implementation of the controls/enhancements. Security plans contain sufficient information (including the specification of parameter values for assignment and selection statements either explicitly or by reference) to enable a design and implementation that is unambiguously compliant with the intent of the plans and subsequent determinations of risk to organizational operations and assets, individuals, other organizations, and the Nation if the plan is implemented as intended. Organizations can also apply tailoring guidance to the security control baselines in Appendix D and CNSS Instruction 1253 to develop overlays for community-wide use or to address specialized requirements, technologies, or missions/environments of operation (e.g., DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and Access Management, space operations). Appendix I provides guidance on developing overlays.
Security plans need not be single documents; the plans can be a collection of various documents including documents that already exist. Effective security plans make extensive use of references to policies, procedures, and additional documents (e.g., design and implementation specifications) where more detailed information can be obtained. This reduces the documentation requirements associated with security programs and maintains security-related information in other established management/operational areas related to enterprise architecture, system development life cycle, systems engineering, and acquisition. For example, security plans do not contain detailed contingency plan or incident response plan information but instead provide explicitly or by reference, sufficient information to define what needs to be accomplished by those plans. Related controls: AC-2, AC-6, AC-14, AC-17, AC-20, CA-2, CA-3, CA-7, CM-9, CP-2, IR-8, MA-4, MA-5, MP-2, MP-4, MP-5, PL-7, PM-1, PM-7, PM-8, PM-9, PM-11, SA-5, SA-17.
PL-2(3) — DAAPM Appendix A Control Verbiage
The organization plans and coordinates security-related activities affecting the information system with all stakeholders before conducting such activities in order to reduce the impact on other organizational entities.
PL-2(3) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PL-2(3) — NIST 800-53 Supplemental Guidance
Security-related activities include, for example, security assessments, audits, hardware and software maintenance, patch management, and contingency plan testing. Advance planning and coordination includes emergency and nonemergency (i.e., planned or nonurgent unplanned) situations. The process defined by organizations to plan and coordinate security-related activities can be included in security plans for information systems or other documents, as appropriate. Related controls: CP-4, IR-4.
PL-4 — DAAPM Appendix A Control Verbiage
The organization: a. Establishes and makes readily available to individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage; b. Receives a signed acknowledgment from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system; c. Reviews and updates the rules of behavior at least Annually; and d. Requires individuals who have signed a previous version of the rules of behavior to read and resign when the rules of behavior are revised/updated.
PL-4 — DCSA Supplemental Guidance
Rules of Behavior are addressed as part of user security awareness and training. Signed acknowledgement of the rules of behavior is covered via user access agreements. The rules of behavior are also referred to as the Acceptable Use Policy (AUP). Password Misuse or Compromise Users shall take precautions to protect their passwords from misuse and compromise. A password shall be changed immediately if misuse or compromise of the password is known or suspected. Suspected misuse or compromise of a password shall be reported to the ISSM/ISSO. Discovery of unauthorized use, possession, or downloading of a password-cracking tool shall be immediately reported to the ISSM/ISSO. Organizations shall establish procedures for all users to change their passwords, for example, in response to an incident affecting an information system resource, should such a response be required Recommended Continuous Monitoring Frequency: Annual
PL-4 — NIST 800-53 Supplemental Guidance
This control enhancement applies to organizational users. Organizations consider rules of behavior based on individual user roles and responsibilities, differentiating, for example, between rules that apply to privileged users and rules that apply to general users. Establishing rules of behavior for some types of non-organizational users including, for example, individuals who simply receive data/information from federal information systems, is often not feasible given the large number of such users and the limited nature of their interactions with the systems. Rules of behavior for both organizational and non-organizational users can also be established in AC-8, System Use Notification. PL-4 b. (the signed acknowledgment portion of this control) may be satisfied by the security awareness training and role-based security training programs conducted by organizations if such training includes rules of behavior. Organizations can use electronic signatures for acknowledging rules of behavior. Related controls: AC-2, AC-6, AC-8, AC-9, AC-17, AC-18, AC-19, AC-20, AT-2, AT-3, CM-11, IA-2, IA-4, IA-5, MP-7, PS-6, PS-8, SA-5.
PL-4(1) — DAAPM Appendix A Control Verbiage
The organization includes in the rules of behavior, explicit restrictions on the use of social media/networking sites and posting organizational information on public websites.
PL-4(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PL-4(1) — NIST 800-53 Supplemental Guidance
This control enhancement addresses rules of behavior related to the use of social media/networking sites: (i) when organizational personnel are using such sites for official duties or in the conduct of official business; (ii) when organizational information is involved in social media/networking transactions; and (iii) when personnel are accessing social media/networking sites from organizational information systems. Organizations also address specific rules that prevent unauthorized entities from obtaining and/or inferring non-public organizational information (e.g., system account information, personally identifiable information) from social media/networking sites.
PL-8 — DAAPM Appendix A Control Verbiage
The organization: a. Develops an information security architecture for the information system that: 1. Describes the overall philosophy, requirements, and approach to be taken with regard to protecting the confidentiality, integrity, and availability of organizational information; 2. Describes how the information security architecture is integrated into and supports the enterprise architecture; and 3. Describes any information security assumptions about, and dependencies on, external services; b. Reviews and updates the information security architecture at least Annually or when security relevant changes require modification to the SSP to reflect updates in the enterprise architecture; and c. Ensures that planned information security architecture changes are reflected in the security plan, the security Concept of Operations (CONOPS), and organizational procurements/acquisitions.
PL-8 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PL-8 — NIST 800-53 Supplemental Guidance
This control addresses actions taken by organizations in the design and development of information systems. The information security architecture at the individual information system level is consistent with and complements the more global, organization-wide information security architecture described in PM-7 that is integral to and developed as part of the enterprise architecture. The information security architecture includes an architectural description, the placement/allocation of security functionality (including security controls), security-related information for external interfaces, information being exchanged across the interfaces, and the protection mechanisms associated with each interface. In addition, the security architecture can include other important security-related information, for example, user roles and access privileges assigned to each role, unique security requirements, the types of information processed, stored, and transmitted by the information system, restoration priorities of information and information system services, and any other specific protection needs.
In today's modern architecture, it is becoming less common for organizations to control all information resources. There are going to be key dependencies on external information services and service providers. Describing such dependencies in the information security architecture is important to developing a comprehensive mission/business protection strategy. Establishing, developing, documenting, and maintaining under configuration control, a baseline configuration for organizational information systems is critical to implementing and maintaining an effective information security architecture. The development of the information security architecture is coordinated with the Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) to ensure that security controls needed to support privacy requirements are identified and effectively implemented. PL-8 is primarily directed at organizations (i.e., internally focused) to help ensure that organizations develop an information security architecture for the information system, and that the security architecture is integrated with or tightly coupled to the enterprise architecture through the organization-wide information security architecture. In contrast, SA-17 is primarily directed at external information technology product/system developers and integrators (although SA-17 could be used internally within organizations for in-house system development). SA-17,which is complementary to PL-8,is selected when organizations outsource the development of information systems or information system components to external entities, and there is a need to demonstrate/show consistency with the organization's enterprise architecture and information security architecture. Related controls: CM-2, CM-6, PL-2, PM-7, SA-5, SA-17, Appendix J.
PL-8(1) — DAAPM Appendix A Control Verbiage
The organization designs its security architecture using a defense-in-depth approach that: (a) Allocates program-defined security safeguards to the IS; and (b) Ensures that the allocated security safeguards operate in a coordinated and mutually reinforcing manner.
PL-8(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PL-8(1) — NIST 800-53 Supplemental Guidance
Organizations strategically allocate security safeguards (procedural, technical, or both) in the security architecture so that adversaries have to overcome multiple safeguards to achieve their objective. Requiring adversaries to defeat multiple mechanisms makes it more difficult to successfully attack critical information resources (i.e., increases adversary work factor) and also increases the likelihood of detection. The coordination of allocated safeguards is essential to ensure that an attack that involves one safeguard does not create adverse unintended consequences (e.g., lockout, cascading alarms) by interfering with another safeguard. Placement of security safeguards is a key activity. Greater asset criticality or information value merits additional layering. Thus, an organization may choose to place anti-virus software at organizational boundary layers, email/web servers, notebook computers, and workstations to maximize the number of related safeguards adversaries must penetrate before compromising the information and information systems. Related controls: SC-29, SC-36.
PL-8(2) — DAAPM Appendix A Control Verbiage
The organization requires that program-defined security safeguards allocated to the IS are obtained from different suppliers.
PL-8(2) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PL-8(2) — NIST 800-53 Supplemental Guidance
Different information technology products have different strengths and weaknesses. Providing a broad spectrum of products complements the individual offerings. For example, vendors offering malicious code protection typically update their products at different times, often developing solutions for known viruses, Trojans, or worms according to their priorities and development schedules. By having different products at different locations (e.g., server, boundary, desktop) there is an increased likelihood that at least one will detect the malicious code. Related control: SA-12.
PM-1 — DAAPM Appendix A Control Verbiage
The organization: a. Develops and disseminates an organization-wide information security program plan that: 1. Provides an overview of the requirements for the security program and a description of the security program management controls and common controls in place or planned for meeting those requirements; 2. Includes the identification and assignment of roles, responsibilities, management commitment, coordination among organizational entities, and compliance; 3. Reflects coordination among organizational entities responsible for the different aspects of information security (i.e., technical, physical, personnel, cyber-physical); and 4. Is approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation; b. Reviews the organization-wide information security program plan at least Annually; c. Updates the plan to address organizational changes and problems identified during plan implementation or security control assessments; and d. Protects the information security program plan from unauthorized disclosure and modification.
PM-1 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PM-1 — NIST 800-53 Supplemental Guidance
Information security program plans can be represented in single documents or compilations of documents at the discretion of organizations. The plans document the program management controls and organization-defined common controls. Information security program plans provide sufficient information about the program management controls/common controls (including specification of parameters for any assignment and selection statements either explicitly or by reference) to enable implementations that are unambiguously compliant with the intent of the plans and a determination of the risk to be incurred if the plans are implemented as intended. The security plans for individual information systems and the organization-wide information security program plan together, provide complete coverage for all security controls employed within the organization. Common controls are documented in an appendix to the organization's information security program plan unless the controls are included in a separate security plan for an information system (e.g., security controls employed as part of an intrusion detection system providing organization-wide boundary protection inherited by one or more organizational information systems). The organization-wide information security program plan will indicate which separate security plans contain descriptions of common controls. Organizations have the flexibility to describe common controls in a single document or in multiple documents. In the case of multiple documents, the documents describing common controls are included as attachments to the information security program plan. If the information security program plan contains multiple documents, the organization specifies in each document the organizational official or officials responsible for the development, implementation, assessment, authorization, and monitoring of the respective common controls. For example, the organization may require that the Facilities Management Office develop, implement, assess, authorize, and continuously monitor common physical and environmental protection controls from the PE family when such controls are not associated with a particular information system but instead, support multiple information systems. Related control: PM-8.
PM-2 — DAAPM Appendix A Control Verbiage
The organization appoints a senior information security officer with the mission and resources to coordinate, develop, implement, and maintain an organization-wide information security program.
PM-2 — DCSA Supplemental Guidance
The FSO or another member of the KMP can be appointed as the Security Officer postion detailed in this control. Recommended Continuous Monitoring Frequency: Annual
PM-2 — NIST 800-53 Supplemental Guidance
The security officer described in this control is an organizational official. For a federal agency(as defined in applicable federal laws, Executive Orders, directives, policies, or regulations) this official is the Senior Agency Information Security Officer. Organizations may also refer to this official as the Senior Information Security Officer or Chief Information Security Officer.
PM-3 — DAAPM Appendix A Control Verbiage
The organization: a. Ensures that all capital planning and investment requests include the resources needed to implement the information security program and documents all exceptions to this requirement; b. Employs a business case/Exhibit 300/Exhibit 53 to record the resources required; and c. Ensures that information security resources are available for expenditure as planned.
PM-3 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PM-3 — NIST 800-53 Supplemental Guidance
Organizations consider establishing champions for information security efforts and as part of including the necessary resources, assign specialized expertise and resources as needed. Organizations may designate and empower an Investment Review Board(or similar group) to manage and provide oversight for the information security-related aspects of the capital planning and investment control process. Related controls: PM-4, SA-2.
PM-4 — DAAPM Appendix A Control Verbiage
The organization: a. Implements a process for ensuring that plans of action and milestones for the security program and associated organizational information systems: 1. Are developed and maintained; 2. Document the remedial information security actions to adequately respond to risk to organizational operations and assets, individuals, other organizations, and the Nation; and 3. Are reported in accordance with OMB FISMA reporting requirements. b. Reviews plans of action and milestones for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions.
PM-4 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
PM-4 — NIST 800-53 Supplemental Guidance
The plan of action and milestones is a key document in the information security program and is subject to federal reporting requirements established by OMB. With the increasing emphasis on organization-wide risk management across all three tiers in the risk management hierarchy (i.e., organization, mission/business process, and information system), organizations view plans of action and milestones from an organizational perspective, prioritizing risk response actions and ensuring consistency with the goals and objectives of the organization. Plan of action and milestones updates are based on findings from security control assessments and continuous monitoring activities. OMB FISMA reporting guidance contains instructions regarding organizational plans of action and milestones. Related control: CA-5.
PM-5 — DAAPM Appendix A Control Verbiage
The organization develops and maintains an inventory of its information systems.
PM-5 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PM-5 — NIST 800-53 Supplemental Guidance
This control addresses the inventory requirements in FISMA. OMB provides guidance on developing information systems inventories and associated reporting requirements. For specific information system inventory reporting requirements, organizations consult OMB Annual FISMA reporting guidance.
PM-6 — DAAPM Appendix A Control Verbiage
The organization develops, monitors, and reports on the results of information security measures of performance.
PM-6 — DCSA Supplemental Guidance
As stated in NIST SP 800-55, Performance Measurement Guide for Information Security, "Information security measures monitor the accomplishment of goals and objectives by quantifying the implementation, efficiency, and effectiveness of security controls; analyzing the adequacy of information security program activities; and identifying possible improvement actions." Information security measures monitor the accomplishment of goals and objectives by quantifying the implementation, efficiency, and effectiveness of security controls; analyzing the adequacy of information security program activities; identifying possible improvement actions. a. Number of employees who received Annual IS training; b. Percent of information systems with ATOs; c. Number of privileged users; d. Number of low and high risk Data Transfer Agents; and e. Other measurements as required by the AO. Recommended Continuous Monitoring Frequency: Annually
PM-6 — NIST 800-53 Supplemental Guidance
Measures of performance are outcome-based metrics used by an organization to measure the effectiveness or efficiency of the information security program and the security controls employed in support of the program.
PM-7 — DAAPM Appendix A Control Verbiage
The organization develops an enterprise architecture with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation.
PM-7 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PM-7 — NIST 800-53 Supplemental Guidance
The enterprise architecture developed by the organization is aligned with the Federal Enterprise Architecture. The integration of information security requirements and associated security controls into the organization's enterprise architecture helps to ensure that security considerations are addressed by organizations early in the system development life cycle and are directly and explicitly related to the organization's mission/business processes. This process of security requirements integration also embeds into the enterprise architecture, an integral information security architecture consistent with organizational risk management and information security strategies. For PM-7,the information security architecture is developed at a system-of-systems level(organization-wide), representing all of the organizational information systems. For PL-8,the information security architecture is developed at a level representing an individual information system but at the same time, is consistent with the information security architecture defined for the organization. Security requirements and security control integration are most effectively accomplished through the application of the Risk Management Framework and supporting security standards and guidelines. The Federal Segment Architecture Methodology provides guidance on integrating information security requirements and security controls into enterprise architectures. Related controls: PL-2, PL-8, PM-11, RA-2, SA-3.
PM-8 — DAAPM Appendix A Control Verbiage
The organization addresses information security issues in the development, documentation, and updating of a critical infrastructure and key resources protection plan.
PM-8 — DCSA Supplemental Guidance
Identifying and documenting critical infrastructure and key resources provides the organization with the fundamental understanding of what assets need protection, at what level, ensures focus on the mission/business objectives, and supports contingency planning [CP-2]. Recommended Continuous Monitoring Frequency: Annual
PM-8 — NIST 800-53 Supplemental Guidance
Protection strategies are based on the prioritization of critical assets and resources. The requirement and guidance for defining critical infrastructure and key resources and for preparing an associated critical infrastructure protection plan are found in applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Related controls: PM-1, PM-9, PM-11, RA-3.
PM-9 — DAAPM Appendix A Control Verbiage
The organization: a. Develops a comprehensive strategy to manage risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of information systems; b. Implements the risk management strategy consistently across the organization; and c. Reviews and updates the risk management strategy at least Annually or as required, to address organizational changes.
PM-9 — DCSA Supplemental Guidance
The risk management strategy at the Program Level incorporates the risk assessment results from the risk assessment reports provided for the security authorization of the information systems(RA-3),as well as other sources internal and external to the organization resulting in a comprehensive risk management strategy. Recommended Continuous Monitoring Frequency: Annual
PM-9 — NIST 800-53 Supplemental Guidance
An organization-wide risk management strategy includes, for example, an unambiguous expression of the risk tolerance for the organization, acceptable risk assessment methodologies, risk mitigation strategies, a process for consistently evaluating risk across the organization with respect to the organization's risk tolerance, and approaches for monitoring risk over time. The use of a risk executive function can facilitate consistent, organization-wide application of the risk management strategy. The organization-wide risk management strategy can be informed by risk-related inputs from other sources both internal and external to the organization to ensure the strategy is both broad-based and comprehensive. Related control: RA-3.
PM-10 — DAAPM Appendix A Control Verbiage
The organization: a. Manages (i.e., documents, tracks, and reports) the security state of organizational information systems and the environments in which those systems operate through security authorization processes; b. Designates individuals to fulfill specific roles and responsibilities within the organizational risk management process; and c. Fully integrates the security authorization processes into an organization-wide risk management program.
PM-10 — DCSA Supplemental Guidance
The organization must implement the Risk Management Framework and incorporate the processes required for security authorization in accordance with the requirements of the NISPOM and CSA's Assessment and Authorization Manual. Recommended Continuous Monitoring Frequency: Annual
PM-10 — NIST 800-53 Supplemental Guidance
Security authorization processes for information systems and environments of operation require the implementation of an organization-wide risk management process, a Risk Management Framework, and associated security standards and guidelines. Specific roles within the risk management process include an organizational risk executive(function) and designated authorizing officials for each organizational information system and common control provider. Security authorization processes are integrated with organizational continuous monitoring processes to facilitate ongoing understanding and acceptance of risk to organizational operations and assets, individuals, other organizations, and the Nation. Related control: CA-6.
PM-11 — DAAPM Appendix A Control Verbiage
The organization: a. Defines mission/business processes with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation; and b. Determines information protection needs arising from the defined mission/business processes and revises the processes as necessary, until achievable protection needs are obtained.
PM-11 — DCSA Supplemental Guidance
Identifying and defining the organization's mission/business processes is required in order to identify critical infrastructures and key resources, and in turn the organization's operations, assets, and individuals that may be at risk, which determines the information protection needs based on the level of adverse impact if a compromise of information occurs. Security categorization describes the potential adverse impacts to organizational operations, organizational assets, and individuals should the information and information system be compromised through a loss of confidentiality, integrity, or availability and results in a potential impact level of low, moderate, or high, which indicates the set of protection needs required. Reference [RA-2]. Recommended Continuous Monitoring Frequency: Annual
PM-11 — NIST 800-53 Supplemental Guidance
Information protection needs are technology-independent, required capabilities to counter threats to organizations, individuals, or the Nation through the compromise of information (i.e., loss of confidentiality, integrity, or availability). Information protection needs are derived from the mission/business needs defined by the organization, the mission/business processes selected to meet the stated needs, and the organizational risk management strategy. Information protection needs determine the required security controls for the organization and the associated information systems supporting the mission/business processes. Inherent in defining an organization's information protection needs is an understanding of the level of adverse impact that could result if a compromise of information occurs. The security categorization process is used to make such potential impact determinations. Mission/business process definitions and associated information protection requirements are documented by the organization in accordance with organizational policy and procedure. Related controls: PM-7, PM-8, RA-2.
PM-12 — DAAPM Appendix A Control Verbiage
The organization implements an insider threat program that includes a cross-discipline insider threat incident handling team.
PM-12 — DCSA Supplemental Guidance
The organization is required to comply with the requirements of the NISP Insider Threat Program. This control supports insider threat mitigation. An Insider Threat Program is system independent at the top level. At the system level, the following controls (not all-inclusive) can be linked to Insider Threat Program implementation: AC-2(4), AC-2(5), AC-2(7), AC-2(9), AC-2(10), AC-2(12), AC-2(13), AC-3(2), AC-5, AC-6, AC-6(1), AC-6(2), AC-6(7), AC-6(8), AC-6(9), AC-6(10), AC-11, AC-11(1), AC-17(1), AC-18(4), AC-20(1), AC-20(2), AT-2(2), AT-3(2), AU-2(3), AU-5(1), AU-6, AU-6(5), AU-6(8), AU-9(4), AU-12, AU-16, CM-5, CM-7(2), CM-8(3), IA-2, IA-2(5), IA-3, IR-4, IR-4(6), IR-4(7), IR-6(2), IR-7(2), IR-10, MP-2, MP-7, PE-3, PS-3, PS-4, SC-28, SI-4, SI-4(12), and SI-4(16). Recommended Continuous Monitoring Frequency: Annual
PM-12 — NIST 800-53 Supplemental Guidance
Organizations handling classified information are required, under Executive Order 13587 and the National Policy on Insider Threat, to establish insider threat programs. The standards and guidelines that apply to insider threat programs in classified environments can also be employed effectively to improve the security of Controlled Unclassified Information in non-national security systems. Insider threat programs include security controls to detect and prevent malicious insider activity through the centralized integration and analysis of both technical and non-technical information to identify potential insider threat concerns. A senior organizational official is designated by the department/agency head as the responsible individual to implement and provide oversight for the program. In addition to the centralized integration and analysis capability, insider threat programs as a minimum, prepare department/agency insider threat policies and implementation plans, conduct host-based user monitoring of individual employee activities on government-owned classified computers, provide insider threat awareness training to employees, receive access to information from all offices within the department/agency (e.g., human resources, legal, physical security, personnel security, information technology, information system security, and law enforcement) for insider threat analysis, and conduct self-assessments of department/agency insider threat posture.
Insider threat programs can leverage the existence of incident handling teams organizations may already have in place, such as computer security incident response teams. Human resources records are especially important in this effort, as there is compelling evidence to show that some types of insider crimes are often preceded by nontechnical behaviors in the workplace (e.g., ongoing patterns of disgruntled behavior and conflicts with coworkers and other colleagues). These precursors can better inform and guide organizational officials in more focused, targeted monitoring efforts. The participation of a legal team is important to ensure that all monitoring activities are performed in accordance with appropriate legislation, directives, regulations, policies, standards, and guidelines. Related controls: AC-6, AT-2, AU-6, AU-7, AU-10, AU-12, AU-13, CA-7, IA-4, IR-4, MP-7, PE-2, PS-3, PS-4, PS-5, PS-8, SC-7, SC-38, SI-4, PM-1, PM-14.
PM-13 — DAAPM Appendix A Control Verbiage
The organization establishes an information security workforce development and improvement program.
PM-13 — DCSA Supplemental Guidance
If enforced due to contractual requirements, information security workforce is required to establish and maintain certification in accordance with the requirements of DOD 8570.01-M. Recommended Continuous Monitoring Frequency: Annual
PM-13 — NIST 800-53 Supplemental Guidance
Information security workforce development and improvement programs include, for example: (i) defining the knowledge and skill levels needed to perform information security duties and tasks; (ii) developing role-based training programs for individuals assigned information security roles and responsibilities; and (iii) providing standards for measuring and building individual qualifications for incumbents and applicants for information security-related positions. Such workforce programs can also include associated information security career paths to encourage: (i) information security professionals to advance in the field and fill positions with greater responsibility; and (ii) organizations to fill information security-related positions with qualified personnel. Information security workforce development and improvement programs are complementary to organizational security awareness and training programs. Information security workforce development and improvement programs focus on developing and institutionalizing core information security capabilities of selected personnel needed to protect organizational operations, assets, and individuals. Related controls: AT-2, AT-3.
PM-14 — DAAPM Appendix A Control Verbiage
The organization: a. Implements a process for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational information systems: 1. Are developed and maintained; and 2. Continue to be executed in a timely manner; b. Reviews testing, training, and monitoring plans for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions.
PM-14 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PM-14 — NIST 800-53 Supplemental Guidance
This control ensures that organizations provide oversight for the security testing, training, and monitoring activities conducted organization-wide and that those activities are coordinated. With the importance of continuous monitoring programs, the implementation of information security across the three tiers of the risk management hierarchy, and the widespread use of common controls, organizations coordinate and consolidate the testing and monitoring activities that are routinely conducted as part of ongoing organizational assessments supporting a variety of security controls. Security training activities, while typically focused on individual information systems and specific roles, also necessitate coordination across all organizational elements. Testing, training, and monitoring plans and activities are informed by current threat and vulnerability assessments. Related controls: AT-3, CA-7, CP-4, IR-3, SI-4.
PM-15 — DAAPM Appendix A Control Verbiage
The organization establishes and institutionalizes contact with selected groups and associations within the security community: a. To facilitate ongoing security education and training for organizational personnel; b. To maintain currency with recommended security practices, techniques, and technologies; and c. To share current security-related information including threats, vulnerabilities, and incidents.
PM-15 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PM-15 — NIST 800-53 Supplemental Guidance
Ongoing contact with security groups and associations is of paramount importance in an environment of rapidly changing technologies and threats. Security groups and associations include, for example, special interest groups, forums, professional associations, news groups, and/or peer groups of security professionals in similar organizations. Organizations select groups and associations based on organizational missions/business functions. Organizations share threat, vulnerability, and incident information consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Related control: SI-5.
PM-16 — DAAPM Appendix A Control Verbiage
The organization implements a threat awareness program that includes a cross-organization information-sharing capability.
PM-16 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PM-16 — NIST 800-53 Supplemental Guidance
Because of the constantly changing and increasing sophistication of adversaries, especially the advanced persistent threat(APT), it is becoming more likely that adversaries may successfully breach or compromise organizational information systems. One of the best techniques to address this concern is for organizations to share threat information. This can include, for example, sharing threat events (i.e., tactics, techniques, and procedures) that organizations have experienced, mitigations that organizations have found are effective against certain types of threats, threat intelligence (i.e., indications and warnings about threats that are likely to occur). Threat information sharing may be bilateral (e.g., government-commercial cooperatives, government-government cooperatives), or multilateral (e.g., organizations taking part in threat-sharing consortia). Threat information may be highly sensitive requiring special agreements and protection, or less sensitive and freely shared. Related controls: PM-12, PM-16.
PS-1 — DAAPM Appendix A Control Verbiage
The organization: a. Develops, documents, and disseminates to all stakeholders: 1. A personnel security policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and 2. Procedures to facilitate the implementation of the personnel security policy and associated personnel security controls; and b. Reviews and updates the current: 1. Personnel security policy at least Annually; and 2. Personnel security procedures at least Annually; .
PS-1 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PS-1 — NIST 800-53 Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PS family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures. Related control: PM-9.
PS-2 — DAAPM Appendix A Control Verbiage
The organization: a. Assigns a risk designation to all organizational positions; b. Establishes screening criteria for individuals filling those positions; and c. Reviews and updates position risk designations Annually.
PS-2 — DCSA Supplemental Guidance
Access to individual programs will be managed in accordance with NISPOM. Positions will be reviewed Annually or as policy and procedures dictate changes are required. Key Management Personnel designation shall be reviewed Annually. Recommended Continuous Monitoring Frequency: Annual
PS-2 — NIST 800-53 Supplemental Guidance
Position risk designations reflect Office of Personnel Management policy and guidance. Risk designations can guide and inform the types of authorizations individuals receive when accessing organizational information and information systems. Position screening criteria include explicit information security role appointment requirements (e.g., training, security clearances). Related controls: AT-3, PL-2, PS-3.
PS-3 — DAAPM Appendix A Control Verbiage
The organization: a. Screens individuals prior to authorizing access to the information system; and b. Rescreens individuals according to conditions defined in organizational personnel security guidelines and authorized System Security Plan at least Annually.
PS-3 — DCSA Supplemental Guidance
Organizations shall ensure that every user accessing an IS processing, storing, or transmitting classified information requires formal indoctrination. This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Annual
PS-3 — NIST 800-53 Supplemental Guidance
Personnel screening and rescreening activities reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, guidance, and specific criteria established for the risk designations of assigned positions. Organizations may define different rescreening conditions and frequencies for personnel accessing information systems based on types of information processed, stored, or transmitted by the systems. Related controls: AC-2, IA-4, PE-2, PS-2.
PS-3(1) — DAAPM Appendix A Control Verbiage
The organization ensures that individuals accessing an information system processing, storing, or transmitting classified information are cleared and indoctrinated to the highest classification level of the information to which they have access on the system.
PS-3(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PS-3(2) — DAAPM Appendix A Control Verbiage
The organization ensures that individuals accessing an information system processing, storing, or transmitting types of classified information which require formal indoctrination, are formally indoctrinated for all of the relevant types of information to which they have access on the system.
PS-3(2) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PS-3(2) — NIST 800-53 Supplemental Guidance
Types of classified information requiring formal indoctrination include, for example, Special Access Program (SAP), Restricted Data (RD), and Sensitive Compartment Information (SCI). Related controls: AC-3, AC-4.
PS-4 — DAAPM Appendix A Control Verbiage
The organization, upon termination of individual employment: a. Disables information system access within 24 hours of notification; b. Terminates/revokes any authenticators/credentials associated with the individual; c. Conducts exit interviews that include a discussion of all information security related topics; d. Retrieves all security-related organizational information system-related property; e. Retains access to organizational information and information systems formerly controlled by terminated individual; and f. Notifies the ISSM/ISSO immediately upon termination announcement.
PS-4 — DCSA Supplemental Guidance
When any system user(to include privileged and non-privileged users) leaves the organization due to employment termination(whether voluntary of involuntary), the individual responsible for user account management must ensure all system accesses are removed. This includes notifying other organizations that may have granted system accesses. Notification of an employee's termination is the responsibility of the organization. The organization must also ensure that information deemed to be of value is retained before the departing user's accounts are archived and removed. The property custodian must retrieve any equipment issued to the departing individual, such as laptops or PEDs. The loss of security clearance or formal access approval(through de-briefing, suspension or revocation) requires immediate deactivation of all accounts associated with the individual. This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Annual
PS-4 — NIST 800-53 Supplemental Guidance
Information system-related property includes, for example, hardware authentication tokens, system administration technical manuals, keys, identification cards, and building passes. Exit interviews ensure that terminated individuals understand the security constraints imposed by being former employees and that proper accountability is achieved for information system-related property. Security topics of interest at exit interviews can include, for example, reminding terminated individuals of nondisclosure agreements and potential limitations on future employment. Exit interviews may not be possible for some terminated individuals, for example, in cases related to job abandonment, illnesses, and nonavailability of supervisors. Exit interviews are important for individuals with security clearances. Timely execution of termination actions is essential for individuals terminated for cause. In certain situations, organizations consider disabling the information system accounts of individuals that are being terminated prior to the individuals being notified. Related controls: AC-2, IA-4, PE-2, PS-5, PS-6.
PS-4(1) — DAAPM Appendix A Control Verbiage
The organization: (a) Notifies terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information; and (b) Requires terminated individuals to sign an acknowledgment of post-employment requirements as part of the organizational termination process.
PS-4(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PS-4(1) — NIST 800-53 Supplemental Guidance
Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.
PS-5 — DAAPM Appendix A Control Verbiage
The organization: a. Reviews and confirms ongoing operational need for current logical and physical access authorizations to information systems/facilities when individuals are reassigned or transferred to other positions within the organization; b. Initiates reassignment actions within 10 working days; c. Modifies access authorization as needed to correspond with any changes in operational need due to reassignment or transfer; and d. Notifies the ISSM as soon as possible.
PS-5 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PS-5 — NIST 800-53 Supplemental Guidance
This control applies when reassignments or transfers of individuals are permanent or of such extended durations as to make the actions warranted. Organizations define actions appropriate for the types of reassignments or transfers, whether permanent or extended. Actions that may be required for personnel transfers or reassignments to other positions within organizations include, for example: (i) returning old and issuing new keys, identification cards, and building passes; (ii) closing information system accounts and establishing new accounts; (iii) changing information system access authorizations (i.e., privileges); and (iv) providing for access to official records to which individuals had access at previous work locations and in previous information system accounts. Related controls: AC-2, IA-4, PE-2, PS-4.
PS-6 — DAAPM Appendix A Control Verbiage
The organization: a. Develops and documents access agreements for organizational information systems; b. Reviews and updates the access agreements at least Annually; and c. Ensures that individuals requiring access to organizational information and information systems: 1. Sign appropriate access agreements prior to being granted access; and 2. Re-sign access agreements to maintain access to organizational information systems when access agreements have been updated or at least Annually.
PS-6 — DCSA Supplemental Guidance
All users are required to read and sign an IS Access Authorization and Briefing Form prior to being granted access to information systems. Organizations shall ensure that access to any information with special protection measures is granted only to individuals who: a. Have a valid access authorization that is demonstrated by assigned official government duties. b. Satisfy associated personnel security criteria consistent with applicable federal laws, EOs, directives, policies, regulations, standards, and guidance. c. Have read, understand, and signed a nondisclosure agreement (if applicable). Recommended Continuous Monitoring Frequency: Annual
PS-6 — NIST 800-53 Supplemental Guidance
Access agreements include, for example, nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with organizational information systems to which access is authorized. Organizations can use electronic signatures to acknowledge access agreements unless specifically prohibited by organizational policy. Related control: PL-4, PS-2, PS-3, PS-4, PS-8.
PS-6(2) — DAAPM Appendix A Control Verbiage
The organization ensures that access to classified information requiring special protection is granted only to individuals who: (a) Have a valid access authorization that is demonstrated by assigned official government duties; (b) Satisfy associated personnel security criteria; and (c) Have read, understood, and signed a nondisclosure agreement.
PS-6(2) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PS-6(2) — NIST 800-53 Supplemental Guidance
Classified information requiring special protection includes, for example, collateral information, Special Access Program(SAP) information, and Sensitive Compartmented Information(SCI). Personnel security criteria reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance.
PS-6(3) — DAAPM Appendix A Control Verbiage
The organization: (a) Notifies individuals of applicable, legally binding post-employment requirements for protection of organizational information; and (b) Requires individuals to sign an acknowledgment of these requirements, if applicable, as part of granting initial access to covered information.
PS-6(3) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PS-6(3) — NIST 800-53 Supplemental Guidance
Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.
PS-7 — DAAPM Appendix A Control Verbiage
The organization: a. Establishes personnel security requirements including security roles and responsibilities for third-party providers; b. Requires third-party providers to comply with personnel security policies and procedures established by the organization; c. Documents personnel security requirements; d. Requires third-party providers to notify the organization of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges as soon as possible, but not to exceed one working day; and e. Monitors provider compliance.
PS-7 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
PS-7 — NIST 800-53 Supplemental Guidance
Third-party providers include, for example, service bureaus, contractors, and other organizations providing information system development, information technology services, outsourced applications, and network and security management. Organizations explicitly include personnel security requirements in acquisition-related documents. Third-party providers may have personnel working at organizational facilities with credentials, badges, or information system privileges issued by organizations. Notifications of third-party personnel changes ensure appropriate termination of privileges and credentials. Organizations define the transfers and terminations deemed reportable by security-related characteristics that include, for example, functions, roles, and nature of credentials/privileges associated with individuals transferred or terminated. Related controls: PS-2, PS-3, PS-4, PS-5, PS-6, SA-9, SA-21.
PS-8 — DAAPM Appendix A Control Verbiage
The organization: a. Employs a formal sanctions process for individuals failing to comply with established information security policies and procedures; and b. Notifies designated security personnel(ISSM/ISSO, FSO, etc.) when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.
PS-8 — DCSA Supplemental Guidance
All instances where an individual fails to comply with established information security policies and procedures will be treated as a security incident. Recommended Continuous Monitoring Frequency: Annual
PS-8 — NIST 800-53 Supplemental Guidance
Organizational sanctions processes reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Sanctions processes are described in access agreements and can be included as part of general personnel policies and procedures for organizations. Organizations consult with the Office of the General Counsel regarding matters of employee sanctions. Related controls: PL-4, PS-6.
RA-1 — DAAPM Appendix A Control Verbiage
The organization: a. Develops, documents, and disseminates to all stakeholders: 1. A risk assessment policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and 2. Procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls; and b. Reviews and updates the current: 1. Risk assessment policy Annually; and 2. Risk assessment procedures Annually.
RA-1 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
RA-1 — NIST 800-53 Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the RA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures. Related control: PM-9.
RA-2 — DAAPM Appendix A Control Verbiage
The organization: a. Categorizes information and the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance; b. Documents the security categorization results (including supporting rationale) in the security plan for the information system; and c. Ensures that the security categorization decision is reviewed and approved by the authorizing official or authorizing official designated representative.
RA-2 — DCSA Supplemental Guidance
The ISSM shall work with the Information System Owner(ISO) and Information Owner(IO) in determining the appropriate security categorization as part of the initial preparatory actions prior to selecting and tailoring the security controls. Recommended Continuous Monitoring Frequency: Annual
RA-2 — NIST 800-53 Supplemental Guidance
Clearly defined authorization boundaries are a prerequisite for effective security categorization decisions. Security categories describe the potential adverse impacts to organizational operations, organizational assets, and individuals if organizational information and information systems are comprised through a loss of confidentiality, integrity, or availability. Organizations conduct the security categorization process as an organization-wide activity with the involvement of chief information officers, senior information security officers, information system owners, mission/business owners, and information owners/stewards. Organizations also consider the potential adverse impacts to other organizations and, in accordance with the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential national-level adverse impacts. Security categorization processes carried out by organizations facilitate the development of inventories of information assets, and along with CM-8,mappings to specific information system components where information is processed, stored, or transmitted. Related controls: CM-8, MP-4, RA-3, SC-7.
RA-3 — DAAPM Appendix A Control Verbiage
The organization: a. Conducts an assessment of risk, including the likelihood and magnitude of harm, from the unauthorized access, use, disclosure, disruption, modification, or destruction of the information system and the information it processes, stores, or transmits; b. Documents risk assessment results in the Risk Assessment Report; c. Reviews risk assessment results at least Annually; d. Disseminates risk assessment results to the SCA for initial review and to the AO/AO Representative for final approval; and e. Updates the risk assessment at least Annually or whenever there are significant changes to the information system or environment of operation (including the identification of new threats and vulnerabilities), or other conditions that may impact the security state of the system.
RA-3 — DCSA Supplemental Guidance
Risk assessments help senior management make decisions on policy, procedural, budget, and system operational and management changes. The initial risk assessment will evaluate anticipated security vulnerabilities affecting confidentiality, integrity, and availability of the system in the context of the planned operational environment. The initial risk assessment will conclude with recommendations for appropriate security safeguards, permitting management to make knowledge-based decisions about the security controls necessary to properly secure the system based on its categorization and threat environment. Results from the initial risk assessment shall be documented in the Risk Assessment Report(RAR) or in the SSP. The RAR shall include the vulnerabilities, threats, threat sources, other conditions that may affect the security of the system, and any residual risk incurred by operating the system. The RAR shall be updated during later stages in the RMF process and is an important part of the security authorization package. The risk assessment process is revisited, as necessary, throughout the RMF to provide the AO with an updated risk picture reflecting the actual(versus planned) state of affairs with regard to system implementation, security control effectiveness, and the operational environment. The RAR for the as-built or as-deployed system shall include a description of the known vulnerabilities in the system, an assessment of the risk posed by each identified vulnerability, and corrective actions that can be taken to mitigate the risks. It shall also include an assessment of the overall risk to the organization and the information contained in the system by operating the system as evaluated. The RAR must be reviewed and updated at least Annually or whenever there are significant changes to the IS or environment of operation (including the identification of new threats and vulnerabilities), or other conditions that may impact the security state of the system. Recommended Continuous Monitoring Frequency: Annual
RA-3 — NIST 800-53 Supplemental Guidance
Clearly defined authorization boundaries are a prerequisite for effective risk assessments. Risk assessments take into account threats, vulnerabilities, likelihood, and impact to organizational operations and assets, individuals, other organizations, and the Nation based on the operation and use of information systems. Risk assessments also take into account risk from external parties (e.g., service providers, contractors operating information systems on behalf of the organization, individuals accessing organizational information systems, outsourcing entities). In accordance with OMB policy and related E-authentication initiatives, authentication of public users accessing federal information systems may also be required to protect nonpublic or privacy-related information. As such, organizational assessments of risk also address public access to federal information systems. Risk assessments(either formal or informal) can be conducted at all three tiers in the risk management hierarchy (i.e., organization level, mission/business process level, or information system level) and at any phase in the system development life cycle. Risk assessments can also be conducted at various steps in the Risk Management Framework, including categorization, security control selection, security control implementation, security control assessment, information system authorization, and security control monitoring. RA-3 is noteworthy in that the control must be partially implemented prior to the implementation of other controls in order to complete the first two steps in the Risk Management Framework. Risk assessments can play an important role in security control selection processes, particularly during the application of tailoring guidance, which includes security control supplementation. Related controls: RA-2, PM-9.
RA-5 — DAAPM Appendix A Control Verbiage
The organization: a. Scans for vulnerabilities in the information system and hosted applications at least Monthly and when new vulnerabilities potentially affecting the system/applications are identified and reported; b. Employs vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for: 1. Enumerating platforms, software flaws, and improper configurations; 2. Formatting checklists and test procedures; and 3. Measuring vulnerability impact; c. Analyzes vulnerability scan reports and results from security control assessments; d. Remediates legitimate vulnerabilities based on guidance provided by ISA/(MOU/A) and authorized System Security Plan(SSP) in accordance with an organizational assessment of risk; and e. Shares information obtained from the vulnerability scanning process and security control assessments with the AO/AO Representative to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies).
RA-5 — DCSA Supplemental Guidance
Vulnerability scanning is the process of proactively identifying vulnerabilities of systems in order to determine if a system can be exploited/threatened. Vulnerability scanning involves employing tools that identify security flaws based on known flaws, testing systems for the occurrence of these flaws and documenting the findings in order for an organization to strengthen their security posture. Simply conducting anti-virus scanning and running the SCAP tool does not meet the intent of this control. This control applies to all system vulnerabilities. Organizations shall use AO-approved vulnerability assessment tools an procedures on all systems to include weapon systems, satellite systems, networks, information systems and system applications, as appropriate. Vulnerability assessment tools shall have the capability to readily update the list of system vulnerabilities scanned. Security Classification Guides(SCG) should address the protection of information revealing specific vulnerabilities(other than the known vulnerabilities of widely available commercial products) and the compiled results of vulnerability analyses for systems. This information's confidentiality requires protection and access to this information must be controlled in accordance with SCG. The ISSM/ISSO will ensure analysis of all vulnerability scan reports to determine whether reported vulnerabilities apply to the system. Some of the potential vulnerabilities reported by automated scanning tools may not represent real vulnerabilities in the context of the system environment. For example, some of the vulnerabilities flagged by the automated scanning software may not be applicable for a particular site (i.e., they may be false positives). Organizations shall attempt to discern what information about the system is discoverable by adversaries, document the information and determine potential risk. The ISSM/ISSO is responsible for ensuring all vulnerabilities are remediated based on guidance provided by the AO. The ISSM/ISSO shall develop and maintain POA&Ms to address all vulnerabilities identified by scanning. Recommended Continuous Monitoring Frequency: Quarterly
RA-5 — NIST 800-53 Supplemental Guidance
Security categorization of information systems guides the frequency and comprehensiveness of vulnerability scans. Organizations determine the required vulnerability scanning for all information system components, ensuring that potential sources of vulnerabilities such as networked printers, scanners, and copiers are not overlooked. Vulnerability analyses for custom software applications may require additional approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Vulnerability scanning includes, for example: (i) scanning for patch levels; (ii) scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and (iii) scanning for improperly configured or incorrectly operating information flow control mechanisms. Organizations consider using tools that express vulnerabilities in the Common Vulnerabilities and Exposures(CVE) naming convention and that use the Open Vulnerability Assessment Language(OVAL) to determine/test for the presence of vulnerabilities. Suggested sources for vulnerability information include the Common Weakness Enumeration(CWE) listing and the National Vulnerability Database(NVD). In addition, security control assessments such as red team exercises provide other sources of potential vulnerabilities for which to scan. Organizations also consider using tools that express vulnerability impact by the Common Vulnerability Scoring System(CVSS). Related controls: CA-2, CA-7, CM-4, CM-6, RA-2, RA-3, SA-11, SI-2.
RA-5(1) — DAAPM Appendix A Control Verbiage
The organization employs vulnerability scanning tools that include the capability to readily update the information system vulnerabilities to be scanned.
RA-5(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
RA-5(1) — NIST 800-53 Supplemental Guidance
The vulnerabilities to be scanned need to be readily updated as new vulnerabilities are discovered, announced, and scanning methods developed. This updating process helps to ensure that potential vulnerabilities in the information system are identified and addressed as quickly as possible. Related controls: SI-3, SI-7.
RA-5(2) — DAAPM Appendix A Control Verbiage
The organization updates the information system vulnerabilities scanned prior to a new scan; when new vulnerabilities are identified and reported within 30 days.
RA-5(2) — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Quarterly
RA-5(4) — DAAPM Appendix A Control Verbiage
The organization determines what information about the information system is discoverable by adversaries and subsequently takes corrective action to mitigate the vulnerabilities.
RA-5(4) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
RA-5(4) — NIST 800-53 Supplemental Guidance
Discoverable information includes information that adversaries could obtain without directly compromising or breaching the information system, for example, by collecting information the system is exposing or by conducting extensive searches of the web. Corrective actions can include, for example, notifying appropriate organizational personnel, removing designated information, or changing the information system to make designated information less relevant or attractive to adversaries. Related control: AU-13.
RA-5(5) — DAAPM Appendix A Control Verbiage
The information system implements privileged access authorization to all systems and infrastructure components for selected vulnerability scanning activities defined in the authorized System Security Plan(SSP) to facilitate more thorough scanning.
RA-5(5) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
RA-5(5) — NIST 800-53 Supplemental Guidance
In certain situations, the nature of the vulnerability scanning may be more intrusive or the information system component that is the subject of the scanning may contain highly sensitive information. Privileged access authorization to selected system components facilitates more thorough vulnerability scanning and also protects the sensitive nature of such scanning.
RA-6 — DAAPM Appendix A Control Verbiage
The organization employs a technical surveillance countermeasures survey at organization defined locations based on the frequency and events or indicators identified in the authorized System Security Plan(SSP).
RA-6 — DCSA Supplemental Guidance
TEMPEST requirements are contractually mandated. It is the responsibility of the IO to identify in writing what TEMPEST countermeasures may be required. Reference TEMPEST requirements in NISPOM 11-101. In order to meet the intent of this control, Industry must also focus on the procedural portion and its relevance to the Risk Assessment Report(RAR). Please reference DSS Insider Threat Products(https:www.dss.mil/ma/tw/dvd/ditmac/), DSS Counterintelligence Products(https:www.dss.mil/ma/ctp/ci/), and the Methods of Operation & Methods of Contact Matrix(https:www.cdse.edu/documents/ci-countermeasures-matrix.pdf). Recommended Continuous Monitoring Frequency: Quarterly
RA-6 — NIST 800-53 Supplemental Guidance
Technical surveillance countermeasures surveys are performed by qualified personnel to detect the presence of technical surveillance devices/hazards and to identify technical security weaknesses that could aid in the conduct of technical penetrations of surveyed facilities. Such surveys provide evaluations of the technical security postures of organizations and facilities and typically include thorough visual, electronic, and physical examinations in and about surveyed facilities. The surveys also provide useful input into risk assessments and organizational exposure to potential adversaries.
SA-1 — DAAPM Appendix A Control Verbiage
The organization: a. Develops, documents, and disseminates to all stakeholders: 1. A system and services acquisition policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and 2. Procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls; and b. Reviews and updates the current: 1. System and services acquisition policy Annually; and 2. System and services acquisition procedures Annually.
SA-1 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SA-1 — NIST 800-53 Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures. Related control: PM-9.
SA-2 — DAAPM Appendix A Control Verbiage
The organization: a. Determines information security requirements for the information system or information system service in mission/business process planning; b. Determines, documents, and allocates the resources required to protect the information system or information system service as part of its capital planning and investment control process; and c. Establishes a discrete line item for information security in organizational programming and budgeting documentation
SA-2 — DCSA Supplemental Guidance
When applicable, Statements of Work(SOWs) will include a DD Form 254 and address contractor-related security issues including, but not limited to: a. Personnel security. b. Physical security. c. Information systems in support of the contract. d. TEMPEST requirements. e. Applicable security regulations. Recommended Continuous Monitoring Frequency: Annual
SA-2 — NIST 800-53 Supplemental Guidance
Resource allocation for information security includes funding for the initial information system or information system service acquisition and funding for the sustainment of the system/service. Related controls: PM-3, PM-11.
SA-3 — DAAPM Appendix A Control Verbiage
The organization: a. Manages the information system using a System Development Life Cycle(SDLC) methodology that incorporates information security considerations; b. Defines and documents information security roles and responsibilities throughout the system development life cycle; c. Identifies individuals having information security roles and responsibilities; and d. Integrates the organizational information security risk management process into system development life cycle activities.
SA-3 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SA-3 — NIST 800-53 Supplemental Guidance
A well-defined system development life cycle provides the foundation for the successful development, implementation, and operation of organizational information systems. To apply the required security controls within the system development life cycle requires a basic understanding of information security, threats, vulnerabilities, adverse impacts, and risk to critical missions/business functions. The security engineering principles in SA-8 cannot be properly applied if individuals that design, code, and test information systems and system components (including information technology products) do not understand security. Therefore, organizations include qualified personnel, for example, chief information security officers, security architects, security engineers, and information system security officers in system development life cycle activities to ensure that security requirements are incorporated into organizational information systems. It is equally important that developers include individuals on the development team that possess the requisite security expertise and skills to ensure that needed security capabilities are effectively integrated into the information system. Security awareness and training programs can help ensure that individuals having key security roles and responsibilities have the appropriate experience, skills, and expertise to conduct assigned system development life cycle activities. The effective integration of security requirements into enterprise architecture also helps to ensure that important security considerations are addressed early in the system development life cycle and that those considerations are directly related to the organizational mission/business processes. This process also facilitates the integration of the information security architecture into the enterprise architecture, consistent with organizational risk management and information security strategies. Related controls: AT-3, PM-7, SA-8.
SA-4 — DAAPM Appendix A Control Verbiage
The organization includes the following requirements, descriptions, and criteria, explicitly or by reference, in the acquisition contract for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs: a. Security functional requirements; b. Security strength requirements; c. Security assurance requirements; d. Security-related documentation requirements; e. Requirements for protecting security-related documentation; f. Description of the information system development environment and environment in which the system is intended to operate; and g. Acceptance criteria.
SA-4 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SA-4 — NIST 800-53 Supplemental Guidance
Information system components are discrete, identifiable information technology assets (e.g., hardware, software, or firmware) that represent the building blocks of an information system. Information system components include commercial information technology products. Security functional requirements include security capabilities, security functions, and security mechanisms. Security strength requirements associated with such capabilities, functions, and mechanisms include degree of correctness, completeness, resistance to direct attack, and resistance to tampering or bypass. Security assurance requirements include: (i) development processes, procedures, practices, and methodologies; and (ii) evidence from development and assessment activities providing grounds for confidence that the required security functionality has been implemented and the required security strength has been achieved. Security documentation requirements address all phases of the system development life cycle. Security functionality, assurance, and documentation requirements are expressed in terms of security controls and control enhancements that have been selected through the tailoring process. The security control tailoring process includes, for example, the specification of parameter values through the use of assignment and selection statements and the specification of platform dependencies and implementation information. Security documentation provides user and administrator guidance regarding the implementation and operation of security controls. The level of detail required in security documentation is based on the security category or classification level of the information system and the degree to which organizations depend on the stated security capability, functions, or mechanisms to meet overall risk response expectations(as defined in the organizational risk management strategy). Security requirements can also include organizationally mandated configuration settings specifying allowed functions, ports, protocols, and services. Acceptance criteria for information systems, information system components, and information system services are defined in the same manner as such criteria for any organizational acquisition or procurement. The Federal Acquisition Regulation(FAR) Section 7.103 contains information security requirements from FISMA. Related controls: CM-6, PL-2, PS-7, SA-3, SA-5, SA-8, SA-11, SA-12.
SA-4(1) — DAAPM Appendix A Control Verbiage
The organization requires the developer of the information system, system component, or information system service to provide a description of the functional properties of the security controls to be employed.
SA-4(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SA-4(1) — NIST 800-53 Supplemental Guidance
Functional properties of security controls describe the functionality (i.e., security capability, functions, or mechanisms) visible at the interfaces of the controls and specifically exclude functionality and data structures internal to the operation of the controls. Related control: SA-5</del>.
SA-4(2) — DAAPM Appendix A Control Verbiage
The organization requires the developer of the information system, system component, or information system service to provide design and implementation information for the security controls to be employed that includes: security-relevant external system interfaces; high level design; source code or hardware schematics and other system or service specific implementation information at a sufficient level of detail.
SA-4(2) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SA-4(2) — NIST 800-53 Supplemental Guidance
Organizations may require different levels of detail in design and implementation documentation for security controls employed in organizational information systems, system components, or information system services based on mission/business requirements, requirements for trustworthiness/resiliency, and requirements for analysis and testing. Information systems can be partitioned into multiple subsystems. Each subsystem within the system can contain one or more modules. The high-level design for the system is expressed in terms of multiple subsystems and the interfaces between subsystems providing security-relevant functionality. The low-level design for the system is expressed in terms of modules with particular emphasis on software and firmware(but not excluding hardware) and the interfaces between modules providing security-relevant functionality. Source code and hardware schematics are typically referred to as the implementation representation of the information system. Related control: SA-5.
SA-4(6) — DAAPM Appendix A Control Verbiage
The organization: (a) Employs only government off-the-shelf (GOTS) or commercial off-the-shelf(COTS) information assurance(IA) and IA-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted; and (b) Ensures that these products have been evaluated and/or validated by NSA or in accordance with NSA-approved procedures.
SA-4(6) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SA-4(6) — NIST 800-53 Supplemental Guidance
COTS IA or IA-enabled information technology products used to protect classified information by cryptographic means may be required to use NSA-approved key management. Related controls: SC-8, SC-12, SC-13.
SA-4(7) — DAAPM Appendix A Control Verbiage
The organization: (a) Limits the use of commercially provided information assurance(IA) and IA-enabled information technology products to those products that have been successfully evaluated against a National Information Assurance partnership(NIAP)-approved Protection Profile for a specific technology type, if such a profile exists; and (b) Requires, if no NIAP-approved Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, that the cryptographic module is FIPS-validated.
SA-4(7) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SA-4(9) — DAAPM Appendix A Control Verbiage
The organization requires the developer of the information system, system component, or information system service to identify early in the system development life cycle, the functions, ports, protocols, and services intended for organizational use.
SA-4(9) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SA-4(9) — NIST 800-53 Supplemental Guidance
The identification of functions, ports, protocols, and services early in the system development life cycle (e.g., during the initial requirements definition and design phases) allows organizations to influence the design of the information system, information system component, or information system service. This early involvement in the life cycle helps organizations to avoid or minimize the use of functions, ports, protocols, or services that pose unnecessarily high risks and understand the trade-offs involved in blocking specific ports, protocols, or services(or when requiring information system service providers to do so). Early identification of functions, ports, protocols, and services avoids costly retrofitting of security controls after the information system, system component, or information system service has been implemented. SA-9 describes requirements for external information system services with organizations identifying which functions, ports, protocols, and services are provided from external sources. Related controls: CM-7, SA-9.
SA-4(10) — DAAPM Appendix A Control Verbiage
The organization employs only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational information systems.
SA-4(10) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SA-5 — DAAPM Appendix A Control Verbiage
The organization: a. Obtains administrator documentation for the information system, system component, or information system service that describes: 1. Secure configuration, installation, and operation of the system, component, or service; 2. Effective use and maintenance of security functions/mechanisms; and 3. Known vulnerabilities regarding configuration and use of administrative (i.e., privileged) functions; b. Obtains user documentation for the information system, system component, or information system service that describes: 1. User-accessible security functions/mechanisms and how to effectively use those security functions/mechanisms; 2. Methods for user interaction, which enables individuals to use the system, component, or service in a more secure manner; and 3. User responsibilities in maintaining the security of the system, component, or service; c. Documents attempts to obtain information system, system component, or information system service documentation when such documentation is either unavailable or nonexistent and takes actions defined in the authorized System Security Plan(SSP) in response; d. Protects documentation as required, in accordance with the risk management strategy; and e. Distributes documentation to all stakeholders
SA-5 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SA-5 — NIST 800-53 Supplemental Guidance
This control helps organizational personnel understand the implementation and operation of security controls associated with information systems, system components, and information system services. Organizations consider establishing specific measures to determine the quality/completeness of the content provided. The inability to obtain needed documentation may occur, for example, due to the age of the information system/component or lack of support from developers and contractors. In those situations, organizations may need to recreate selected documentation if such documentation is essential to the effective implementation or operation of security controls. The level of protection provided for selected information system, component, or service documentation is commensurate with the security category or classification of the system. For example, documentation associated with a key DoD weapons system or command and control system would typically require a higher level of protection than a routine administrative system. Documentation that addresses information system vulnerabilities may also require an increased level of protection. Secure operation of the information system, includes, for example, initially starting the system and resuming secure system operation after any lapse in system operation. Related controls: CM-6, CM-8, PL-2, PL-4, PS-2, SA-3, SA-4.
SA-8 — DAAPM Appendix A Control Verbiage
The organization applies information system security engineering principles in the specification, design, development, implementation, and modification of the information system.
SA-8 — DCSA Supplemental Guidance
For legacy information systems, organizations shall apply security engineering principles to system upgrades and modifications to the extent feasible, given the current state of the hardware, software, and firmware within the system. Recommended Continuous Monitoring Frequency: Annual
SA-8 — NIST 800-53 Supplemental Guidance
Organizations apply security engineering principles primarily to new development information systems or systems undergoing major upgrades. For legacy systems, organizations apply security engineering principles to system upgrades and modifications to the extent feasible, given the current state of hardware, software, and firmware within those systems. Security engineering principles include, for example: (i) developing layered protections; (ii) establishing sound security policy, architecture, and controls as the foundation for design; (iii) incorporating security requirements into the system development life cycle; (iv) delineating physical and logical security boundaries;(v) ensuring that system developers are trained on how to build secure software;(vi) tailoring security controls to meet organizational and operational needs;(vii) performing threat modeling to identify use cases, threat agents, attack vectors, and attack patterns as well as compensating controls and design patterns needed to mitigate risk; and(viii) reducing risk to acceptable levels, thus enabling informed risk management decisions. Related controls: PM-7, SA-3, SA-4, SA-17, SC-2, SC-3.
SA-9 — DAAPM Appendix A Control Verbiage
The organization: a. Requires that providers of external information system services comply with organizational information security requirements and employ program-defined security controls in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance; b. Defines and documents government oversight and user roles and responsibilities with regard to external information system services; and c. Employs program-defined processes, methods, and techniques to monitor security control compliance by external service providers on an ongoing basis.
SA-9 — DCSA Supplemental Guidance
When a sufficient level of trust cannot be established in the external services and/or service providers, the organization shall employ compensating security controls or accept the greater degree of risk. Recommended Continuous Monitoring Frequency: Annual
SA-9 — NIST 800-53 Supplemental Guidance
External information system services are services that are implemented outside of the authorization boundaries of organizational information systems. This includes services that are used by, but not a part of, organizational information systems. FISMA and OMB policy require that organizations using external service providers that are processing, storing, or transmitting federal information or operating information systems on behalf of the federal government ensure that such providers meet the same security requirements that federal agencies are required to meet. Organizations establish relationships with external service providers in a variety of ways including, for example, through joint ventures, business partnerships, contracts, interagency agreements, lines of business arrangements, licensing agreements, and supply chain exchanges. The responsibility for managing risks from the use of external information system services remains with authorizing officials. For services external to organizations, a chain of trust requires that organizations establish and retain a level of confidence that each participating provider in the potentially complex consumer-provider relationship provides adequate protection for the services rendered. The extent and nature of this chain of trust varies based on the relationships between organizations and the external providers. Organizations document the basis for trust relationships so the relationships can be monitored over time. External information system services documentation includes government, service providers, end user security roles and responsibilities, and service-level agreements. Service-level agreements define expectations of performance for security controls, describe measurable outcomes, and identify remedies and response requirements for identified instances of noncompliance. Related controls: CA-3, IR-7, PS-7.
SA-9(1) — DAAPM Appendix A Control Verbiage
The organization: (a) Conducts an organizational assessment of risk prior to the acquisition or outsourcing of dedicated information security services; and (b) Ensures that the acquisition or outsourcing of dedicated information security services is approved by as defined at the system or program level. Organizations should ensure that individuals with the regulatory and organizational authority to outsource services conduct full scope risk assessments and ensure that appropriate individuals are involved in this decision. This approval line can be reserved for CIO, AO, or contracting officer as appropriate based on an organization's structure. Dedicated information security services include, for example, incident monitoring, analysis and response, operation of information security-related devices such as firewalls, or key management services.
SA-9(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SA-9(1) — NIST 800-53 Supplemental Guidance
Dedicated information security services include, for example, incident monitoring, analysis and response, operation of information security-related devices such as firewalls, or key management services. Related controls: CA-6, RA-3.
SA-9(2) — DAAPM Appendix A Control Verbiage
The organization requires providers of all external information system services to identify the functions, ports, protocols, and other services required for the use of such services.
SA-9(2) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SA-9(2) — NIST 800-53 Supplemental Guidance
Information from external service providers regarding the specific functions, ports, protocols, and services used in the provision of such services can be particularly useful when the need arises to understand the trade-offs involved in restricting certain functions/services or blocking certain ports/protocols. Related control: CM-7.
SA-10 — DAAPM Appendix A Control Verbiage
The organization requires the developer of the information system, system component, or information system service to: a. Perform configuration management during system, component, or service design; development; implementation; operation b. Document, manage, and control the integrity of changes to configuration items under configuration management as defined in the authorized System Security Plan(SSP); c. Implement only organization-approved changes to the system, component, or service; d. Document approved changes to the system, component, or service and the potential security impacts of such changes; and e. Track security flaws and flaw resolution within the system, component, or service and report findings to the ISSM/ISSO.
SA-10 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SA-10 — NIST 800-53 Supplemental Guidance
This control also applies to organizations conducting internal information systems development and integration. Organizations consider the quality and completeness of the configuration management activities conducted by developers as evidence of applying effective security safeguards. Safeguards include, for example, protecting from unauthorized modification or destruction, the master copies of all material used to generate security-relevant portions of the system hardware, software, and firmware. Maintaining the integrity of changes to the information system, information system component, or information system service requires configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes. Configuration items that are placed under configuration management (if existence/use is required by other security controls) include: the formal model; the functional, high-level, and low-level design specifications; other design data; implementation documentation; source code and hardware schematics; the running version of the object code; tools for comparing new versions of security-relevant hardware descriptions and software/firmware source code with previous versions; and test fixtures and documentation. Depending on the mission/business needs of organizations and the nature of the contractual relationships in place, developers may provide configuration management support during the operations and maintenance phases of the life cycle. Related controls: CM-3, CM-4, CM-9, SA-12, SI-2.
SA-10(1) — DAAPM Appendix A Control Verbiage
The organization requires the developer of the information system, system component, or information system service to enable integrity verification of software and firmware components.
SA-10(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SA-10(1) — NIST 800-53 Supplemental Guidance
This control enhancement allows organizations to detect unauthorized changes to software and firmware components through the use of tools, techniques, and/or mechanisms provided by developers. Integrity checking mechanisms can also address counterfeiting of software and firmware components. Organizations verify the integrity of software and firmware components, for example, through secure one-way hashes provided by developers. Delivered software and firmware components also include any updates to such components. Related control: SI-7.
SA-11 — DAAPM Appendix A Control Verbiage
The organization requires the developer of the information system, system component, or information system service to: a. Create and implement a security assessment plan; b. Perform unit; integration; system; regression testing/evaluation at the level of depth and coverage defined in the authorized System Security Plan (SSP); c. Produce evidence of the execution of the security assessment plan and the results of the security testing/evaluation; d. Implement a verifiable flaw remediation process; and e. Correct flaws identified during security testing/evaluation.
SA-11 — DCSA Supplemental Guidance
Security testing and evaluation will be conducted in consultation with security personnel(ISSM/ISSO). An objective of the flaw remediation process is to correct weaknesses and deficiencies identified during the security testing and evaluation process. Recommended Continuous Monitoring Frequency: Annual
SA-11 — NIST 800-53 Supplemental Guidance
Developmental security testing/evaluation occurs at all post-design phases of the system development life cycle. Such testing/evaluation confirms that the required security controls are implemented correctly, operating as intended, enforcing the desired security policy, and meeting established security requirements. Security properties of information systems may be affected by the interconnection of system components or changes to those components. These interconnections or changes (e.g., upgrading or replacing applications and operating systems) may adversely affect previously implemented security controls. This control provides additional types of security testing/evaluation that developers can conduct to reduce or eliminate potential flaws. Testing custom software applications may require approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Developers can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Security assessment plans provide the specific activities that developers plan to carry out including the types of analyses, testing, evaluation, and reviews of software and firmware components, the degree of rigor to be applied, and the types of artifacts produced during those processes. The depth of security testing/evaluation refers to the rigor and level of detail associated with the assessment process (e.g., black box, gray box, or white box testing). The coverage of security testing/evaluation refers to the scope (i.e., number and type) of the artifacts included in the assessment process. Contracts specify the acceptance criteria for security assessment plans, flaw remediation processes, and the evidence that the plans/processes have been diligently applied. Methods for reviewing and protecting assessment plans, evidence, and documentation are commensurate with the security category or classification level of the information system. Contracts may specify documentation protection requirements. Related controls: CA-2, CM-4, SA-3, SA-4, SA-5, SI-2.
SA-12 — DAAPM Appendix A Control Verbiage
The organization protects against supply chain threats to the information system, system component, or information system service by employing security safeguards in accordance with CNSSD No. 505, Supply Chain Risk Management as part of a comprehensive, defense-in-breadth information security strategy.
SA-12 — DCSA Supplemental Guidance
Organizations shall conduct a due diligence review of suppliers prior to entering into contractual agreements to acquire information system hardware, software, firmware, or services, including a review of supplier claims with regard to the use of appropriate security processes in the development and manufacture of IS components or products. Recommended Continuous Monitoring Frequency: Annual
SA-12 — NIST 800-53 Supplemental Guidance
Information systems (including system components that compose those systems) need to be protected throughout the system development life cycle (i.e., during design, development, manufacturing, packaging, assembly, distribution, system integration, operations, maintenance, and retirement). Protection of organizational information systems is accomplished through threat awareness, by the identification, management, and reduction of vulnerabilities at each phase of the life cycle and the use of complementary, mutually reinforcing strategies to respond to risk. Organizations consider implementing a standardized process to address supply chain risk with respect to information systems and system components, and to educate the acquisition workforce on threats, risk, and required security controls. Organizations use the acquisition/procurement processes to require supply chain entities to implement necessary security safeguards to: (i) reduce the likelihood of unauthorized modifications at each stage in the supply chain; and (ii) protect information systems and information system components, prior to taking delivery of such systems/components. This control enhancement also applies to information system services. Security safeguards include, for example: (i) security controls for development systems, development facilities, and external connections to development systems; (ii) vetting development personnel; and (iii) use of tamper-evident packaging during shipping/warehousing. Methods for reviewing and protecting development plans, evidence, and documentation are commensurate with the security category or classification level of the information system. Contracts may specify documentation protection requirements. Related controls: AT-3, CM-8, IR-4, PE-16, PL-8, SA-3, SA-4, SA-8, SA-10, SA-14, SA-15, SA-18, SA-19, SC-29, SC-30, SC-38, SI-7.
SA-15 — DAAPM Appendix A Control Verbiage
The organization: a. Requires the developer of the information system, system component, or information system service to follow a documented development process that: 1. Explicitly addresses security requirements; 2. Identifies the standards and tools used in the development process; 3. Documents the specific tool options and tool configurations used in the development process; and 4. Documents, manages, and ensures the integrity of changes to the process and/or tools used in development; and b. Reviews the development process, standards, tools, and tool options/configurations regularly but not less than Annually to determine if the process, standards, tools, and tool options/configurations selected and employed can satisfy security requirements defined in the authorized System Security Plan(SSP).
SA-15 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SA-15 — NIST 800-53 Supplemental Guidance
Development tools include, for example, programming languages and computer-aided design(CAD) systems. Reviews of development processes can include, for example, the use of maturity models to determine the potential effectiveness of such processes. Maintaining the integrity of changes to tools and processes enables accurate supply chain risk assessment and mitigation, and requires robust configuration control throughout the life cycle (including design, development, transport, delivery, integration, and maintenance) to track authorized changes and prevent unauthorized changes. Related controls: SA-3, SA-8.
SA-15(9) — DAAPM Appendix A Control Verbiage
The organization approves, documents, and controls the use of live data in development and test environments for the information system, system component, or information system service.
SA-15(9) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SA-15(9) — NIST 800-53 Supplemental Guidance
The use of live data in preproduction environments can result in significant risk to organizations. Organizations can minimize such risk by using test or dummy data during the development and testing of information systems, information system components, and information system services.
SA-19 — DAAPM Appendix A Control Verbiage
The organization: a. Develops and implements anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the information system; and b. Reports counterfeit information system components to DSS.
SA-19 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SA-19 — NIST 800-53 Supplemental Guidance
Sources of counterfeit components include, for example, manufacturers, developers, vendors, and contractors. Anti-counterfeiting policy and procedures support tamper resistance and provide a level of protection against the introduction of malicious code. External reporting organizations include, for example, US-CERT. Related controls: PE-3, SA-12, SI-7.
SA-22 — DAAPM Appendix A Control Verbiage
The organization: a. Replaces information system components when support for the components is no longer available from the developer, vendor, or manufacturer; and b. Provides justification and documents approval for the continued use of unsupported system components required to satisfy mission/business needs.
SA-22 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SA-22 — NIST 800-53 Supplemental Guidance
Support for information system components includes, for example, software patches, firmware updates, replacement parts, and maintenance contracts. Unsupported components (e.g., when vendors are no longer providing critical software patches), provide a substantial opportunity for adversaries to exploit new weaknesses discovered in the currently installed components. Exceptions to replacing unsupported system components may include, for example, systems that provide critical mission/business capability where newer technologies are not available or where the systems are so isolated that installing replacement components is not an option. Related controls: PL-2, SA-3.
SC-1 — DAAPM Appendix A Control Verbiage
The organization: a. Develops, documents, and disseminates to all stakeholders: 1. A system and communications protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and 2. Procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls; and b. Reviews and updates the current: 1. System and communications protection policy Annually; and 2. System and communications protection procedures Annually.
SC-1 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SC-1 — NIST 800-53 Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures. Related control: PM-9.
SC-2 — DAAPM Appendix A Control Verbiage
The information system separates user functionality (including user interface services) from information system management functionality.
SC-2 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SC-2 — NIST 800-53 Supplemental Guidance
Information system management functionality includes, for example, functions necessary to administer databases, network components, workstations, or servers, and typically requires privileged user access. The separation of user functionality from information system management functionality is either physical or logical. Organizations implement separation of system management-related functionality from user functionality by using different computers, different central processing units, different instances of operating systems, different network addresses, virtualization techniques, or combinations of these or other methods, as appropriate. This type of separation includes, for example, web administrative interfaces that use separate authentication methods for users of any other information system resources. Separation of system and user functionality may include isolating administrative interfaces on different domains and with additional access controls. Related controls: SA-4, SA-8, SC-3.
SC-3 — DAAPM Appendix A Control Verbiage
The information system isolates security functions from nonsecurity functions.
SC-3 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SC-3 — NIST 800-53 Supplemental Guidance
The information system isolates security functions from nonsecurity functions by means of an isolation boundary (implemented via partitions and domains). Such isolation controls access to and protects the integrity of the hardware, software, and firmware that perform those security functions. Information systems implement code separation (i.e., separation of security functions from nonsecurity functions) in a number of ways, including, for example, through the provision of security kernels via processor rings or processor modes. For non-kernel code, security function isolation is often achieved through file system protections that serve to protect the code on disk, and address space protections that protect executing code. Information systems restrict access to security functions through the use of access control mechanisms and by implementing least privilege capabilities. While the ideal is for all of the code within the security function isolation boundary to only contain security-relevant code, it is sometimes necessary to include nonsecurity functions within the isolation boundary as an exception. Related controls: AC-3, AC-6, SA-4, SA-5, SA-8, SA-13, SC-2, SC-7, SC-39.
SC-4 — DAAPM Appendix A Control Verbiage
The information system prevents unauthorized and unintended information transfer via shared system resources.
SC-4 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SC-4 — NIST 800-53 Supplemental Guidance
This control prevents information, including encrypted representations of information, produced by the actions of prior users/roles(or the actions of processes acting on behalf of prior users/roles) from being available to any current users/roles(or current processes) that obtain access to shared system resources (e.g., registers, main memory, hard disks) after those resources have been released back to information systems. The control of information in shared resources is also commonly referred to as object reuse and residual information protection. This control does not address: (i) information remanence which refers to residual representation of data that has been nominally erased or removed; (ii) covert channels (including storage and/or timing channels) where shared resources are manipulated to violate information flow restrictions; or (iii) components within information systems for which there are only single users/roles. Related controls: AC-3, AC-4, MP-6.
SC-4(2) — DAAPM Appendix A Control Verbiage
The information system prevents unauthorized information transfer via shared resources in accordance with upgrade/downgrade procedures when system processing explicitly switches between different information classification levels or security categories.
SC-4(2) — DCSA Supplemental Guidance
Periods processing is a method of sequential operation that provides the capability to process information at various levels of classification or different general users at different times. It also can include upgrading to the classified level or downgrading to the unclassified level. IS conducting periods processing are sanitized between uses to allow for differing levels of user access controls, classification levels, or segregation of program data onto separate media. Periods Processing may not be required if: (1) user access control is implemented in the operating system and processing is conducted at the same classification level; and (2) logical data segregation is implemented. Periods processing requires sanitization of system resources before and after distinct periods of processing. Sanitization is also required prior to releasing the system from classified information controls or for re-use at a lower classification level. Sanitization for releasing a system typically includes destruction of the fixed media for the system. Clearing is required if the information system is not being released to users with a lower access or clearance levels. Systems may be cleared (e.g., hard drive wiped) and then re-used at the same or a higher classification level. Systems conducting periods processing require an upgrade/downgrade procedure for switching between modes. During an assessment, the SCA will observe the contractor's procedures for upgrading and downgrading the system and ensure that sanitization before and after use is accomplished when periods processing is involved. Tailor in this control for systems using periods processing. Standalone systems that conduct periods processing must provide procedures that meet the requirements of this control and any component level guidance for periods processing. Recommended Continuous Monitoring Frequency: Annual
SC-4(2) — NIST 800-53 Supplemental Guidance
This control enhancement applies when there are explicit changes in information processing levels during information system operations, for example, during multilevel processing and periods processing with information at different classification levels or security categories. Organization-defined procedures may include, for example, approved sanitization processes for electronically stored information.
SC-7(10) — DAAPM Appendix A Control Verbiage
The organization prevents the unauthorized exfiltration of information across managed interfaces.
SC-7(10) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
SC-7(10) — NIST 800-53 Supplemental Guidance
Safeguards implemented by organizations to prevent unauthorized exfiltration of information from information systems include, for example: (i) strict adherence to protocol formats; (ii) monitoring for beaconing from information systems; (iii) monitoring for steganography; (iv) disconnecting external network interfaces except when explicitly needed;(v) disassembling and reassembling packet headers; and(vi) employing traffic profile analysis to detect deviations from the volume/types of traffic expected within organizations or call backs to command and control centers. Devices enforcing strict adherence to protocol formats include, for example, deep packet inspection firewalls and XML gateways. These devices verify adherence to protocol formats and specification at the application layer and serve to identify vulnerabilities that cannot be detected by devices operating at the network or transport layers. This control enhancement is closely associated with cross-domain solutions and system guards enforcing information flow requirements. Related control: SI-3.
SC-8 — DAAPM Appendix A Control Verbiage
The information system protects the confidentiality and integrity of transmitted information.
SC-8 — DCSA Supplemental Guidance
When more than one computer network exists within a Closed Area, a color coding scheme shall be developed to assist in the proper handling of classified information. Color coding of cables may be met by any of the following: a. Purchasing/making cables with the proper color; b. Placing colored tape every five feet along the cable length; c. Wrapping tape around the length of the cable run; and d. Cable labeling. A Protected Distribution System(PDS) must be used to transmit unencrypted classified information outside of a DSS approved area(Closed Area). DSS Guidance can be found at the following link: https:www.dss.mil/ma/ctp/io/nao/ Reference:Committee on National Security Systems Instruction(CNSSI) 7003, Protected Distribution Systems. Recommended Continuous Monitoring Frequency: Annual
SC-8 — NIST 800-53 Supplemental Guidance
This control applies to both internal and external networks and all types of information system components from which information can be transmitted (e.g., servers, mobile devices, notebook computers, printers, copiers, scanners, facsimile machines). Communication paths outside the physical protection of a controlled boundary are exposed to the possibility of interception and modification. Protecting the confidentiality and/or integrity of organizational information can be accomplished by physical means (e.g., by employing protected distribution systems) or by logical means (e.g., employing encryption techniques). Organizations relying on commercial providers offering transmission services as commodity services rather than as fully dedicated services (i.e., services which can be highly specialized to individual customer needs), may find it difficult to obtain the necessary assurances regarding the implementation of needed security controls for transmission confidentiality/integrity. In such situations, organizations determine what types of confidentiality/integrity services are available in standard, commercial telecommunication service packages. If it is infeasible or impractical to obtain the necessary security controls and assurances of control effectiveness through appropriate contracting vehicles, organizations implement appropriate compensating security controls or explicitly accept the additional risk. Related controls: AC-17, PE-4.
SC-8(1) — DAAPM Appendix A Control Verbiage
The information system implements cryptographic mechanisms to prevent unauthorized disclosure of information; detect changes to information during transmission unless otherwise protected by alternative physical safeguards such as keeping transmission within physical areas rated in accordance with the sensitivity of the information or within a PDS when traversing areas not approved for the sensitivity of the information.
SC-8(1) — DCSA Supplemental Guidance
When more than one computer network exists within a Closed Area, a color coding scheme shall be developed to assist in the proper handling of classified information. Color coding of cables may be met by any of the following: a. Purchasing/making cables with the proper color; b. Placing colored tape every five feet along the cable length; c. Wrapping tape around the length of the cable run; and d. Cable labeling. A Protected Distribution System(PDS) must be used to transmit unencrypted classified information outside of a DSS approved area(Closed Area). DSS Guidance can be found at the following link: https:www.dss.mil/ma/ctp/io/nao/ Reference:Committee on National Security Systems Instruction(CNSSI) 7003, Protected Distribution Systems. Recommended Continuous Monitoring Frequency: Annual
SC-8(1) — NIST 800-53 Supplemental Guidance
Encrypting information for transmission protects information from unauthorized disclosure and modification. Cryptographic mechanisms implemented to protect information integrity include, for example, cryptographic hash functions which have common application in digital signatures, checksums, and message authentication codes. Alternative physical security safeguards include, for example, protected distribution systems. Related control: SC-13.
SC-8(3) — DAAPM Appendix A Control Verbiage
The information system implements cryptographic mechanisms to protect message externals unless otherwise protected by alternative physical safeguards.
SC-8(3) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SC-8(3) — NIST 800-53 Supplemental Guidance
This control enhancement addresses protection against unauthorized disclosure of information. Message externals include, for example, message headers/routing information. This control enhancement prevents the exploitation of message externals and applies to both internal and external networks or links that may be visible to individuals who are not authorized users. Header/routing information is sometimes transmitted unencrypted because the information is not properly identified by organizations as having significant value or because encrypting the information can result in lower network performance and/or higher costs. Alternative physical safeguards include, for example, protected distribution systems. Related controls: SC-12, SC-13.
SC-8(4) — DAAPM Appendix A Control Verbiage
The information system implements cryptographic mechanisms to conceal or randomize communication patterns unless otherwise protected by alternative physical safeguards.
SC-8(4) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SC-8(4) — NIST 800-53 Supplemental Guidance
This control enhancement addresses protection against unauthorized disclosure of information. Communication patterns include, for example, frequency, periods, amount, and predictability. Changes to communications patterns can reveal information having intelligence value especially when combined with other available information related to missions/business functions supported by organizational information systems. This control enhancement prevents the derivation of intelligence based on communications patterns and applies to both internal and external networks or links that may be visible to individuals who are not authorized users. Encrypting the links and transmitting in continuous, fixed/random patterns prevents the derivation of intelligence from the system communications patterns. Alternative physical safeguards include, for example, protected distribution systems. Related controls: SC-12, SC-13.
SC-12 — DAAPM Appendix A Control Verbiage
The organization establishes and manages cryptographic keys for required cryptography employed within the information system in accordance with NSA-approved key management technology and processes.
SC-12 — DCSA Supplemental Guidance
Cryptographic keys include, but are not limited to those associated with bulk encryptors (e.g. NSA-provided cryptographic equipment), PKI, and FIPS 140-2 approved encryption modules, and may be implemented via either hardware or software. In addition, organizations shall maintain availability of information, via key escrow, in the event of the loss of cryptographic keys. Recommended Continuous Monitoring Frequency: Annual
SC-12 — NIST 800-53 Supplemental Guidance
Cryptographic key management and establishment can be performed using manual procedures or automated mechanisms with supporting manual procedures. Organizations define key management requirements in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance, specifying appropriate options, levels, and parameters. Organizations manage trust stores to ensure that only approved trust anchors are in such trust stores. This includes certificates with visibility external to organizational information systems and certificates related to the internal operations of systems. Related controls: SC-13, SC-17.
SC-12(1) — DAAPM Appendix A Control Verbiage
The organization maintains availability of information in the event of the loss of cryptographic keys by users.
SC-12(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SC-12(1) — NIST 800-53 Supplemental Guidance
Escrowing of encryption keys is a common practice for ensuring availability in the event of loss of keys (e.g., due to forgotten passphrase).
SC-12(2) — DAAPM Appendix A Control Verbiage
The organization produces, controls, and distributes symmetric cryptographic keys using NSA-approved key management technology and processes.
SC-12(2) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SC-12(2) — NIST 800-53 Supplemental Guidance
SC-12(3) — DAAPM Appendix A Control Verbiage
The organization produces, controls, and distributes asymmetric cryptographic keys using NSA-approved key management technology and processes.
SC-12(3) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SC-12(3) — NIST 800-53 Supplemental Guidance
SC-13 — DAAPM Appendix A Control Verbiage
The information system implements using NSA-approved cryptography for protecting classified information in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards.
SC-13 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SC-13 — NIST 800-53 Supplemental Guidance
Cryptography can be employed to support a variety of security solutions including, for example, the protection of classified and Controlled Unclassified Information, the provision of digital signatures, and the enforcement of information separation when authorized individuals have the necessary clearances for such information but lack the necessary formal access approvals. Cryptography can also be used to support random number generation and hash generation. Generally applicable cryptographic standards include FIPS-validated cryptography and NSA-approved cryptography. This control does not impose any requirements on organizations to use cryptography. However, if cryptography is required based on the selection of other security controls, organizations define each type of cryptographic use and the type of cryptography required (e.g., protection of classified information: NSA-approved cryptography; provision of digital signatures: FIPS-validated cryptography). Related controls: AC-2, AC-3, AC-7, AC-17, AC-18, AU-9, AU-10, CM-11, CP-9, IA-3, IA-7, MA-4, MP-2, MP-4, MP-5, SA-4, SC-8, SC-12, SC-28, SI-7.
SC-15(3) — DAAPM Appendix A Control Verbiage
The organization disables or removes collaborative computing devices from information systems or information system components in secure work areas defined in the authorized System Security Plan(SSP).
SC-15(3) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SC-15(3) — NIST 800-53 Supplemental Guidance
Failing to disable or remove collaborative computing devices from information systems or information system components can result in subsequent compromises of organizational information including, for example, eavesdropping on conversations.
SC-16 — DAAPM Appendix A Control Verbiage
The information system associates [Assignment: organization-defined security attributes] with information exchanged between information systems and between system components.
SC-16 — DCSA Supplemental Guidance
None
SC-16 — NIST 800-53 Supplemental Guidance
Security attributes can be explicitly or implicitly associated with the information contained in organizational information systems or system components. Related controls: AC-3, AC-4, AC-16.
SC-17 — DAAPM Appendix A Control Verbiage
The organization issues public key certificates under an organizational-defined certificate policy or obtains public key certificates from an approved service provider.
SC-17 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SC-17 — NIST 800-53 Supplemental Guidance
For all certificates, organizations manage information system trust stores to ensure only approved trust anchors are in the trust stores. This control addresses both certificates with visibility external to organizational information systems and certificates related to the internal operations of systems, for example, application-specific time services. Related control: SC-12.
SC-18 — DAAPM Appendix A Control Verbiage
The organization: a. Defines acceptable and unacceptable mobile code and mobile code technologies; b. Establishes usage restrictions and implementation guidance for acceptable mobile code and mobile code technologies; and c. Authorizes, monitors, and controls the use of mobile code within the information system.
SC-18 — DCSA Supplemental Guidance
Mobile code technology is assigned to one of three risk categories: a. Category 1(High Risk): These mobile code technologies provide broad functionality, allowing unmediated access to workstation, host, and remote system services and resources. Category 1 mobile code technologies have known security vulnerabilities with few or no countermeasures once they begin executing. They pose a severe threat to operations, and the high risk associated with their use outweighs almost all possible benefits. b. Category 2(Medium Risk): These mobile code technologies have full functionality, allowing mediated or controlled access to workstation, host, and remote system services and resources. They also have known fine-grained, periodic, or continuous countermeasures or safeguards against security exploits. Category 2 technologies pose a moderate threat to information systems; when combined with prudent countermeasures against malicious code and exploitation, their use can afford benefits that generally outweigh the risks. c. Category 3(Low Risk): These mobile code technologies provide limited functionality with no capability for unmediated access to workstation, host, and remote system resources and services, and they have fine-grained, periodic, or continuous security safeguards against security exploits. Category 3 technologies are of limited risk to systems. When combined with vigilance comparable to that required to keep any software system configured to resist known exploits, the use of Category 3 technologies affords benefits that generally outweigh the risks. d. Organizations shall comply with mobile code requirements, usage restrictions, and implementation guidance for acceptable mobile code and mobile code technologies as follows [SC-18.a and .b]: e. Emerging mobile code technologies, that have not undergone a risk assessment and been assigned to a Risk Category by the AO, shall not be used. f. Category 1 mobile code shall be signed by a trusted Certificate Authority. Use of unsigned Category 1 mobile code is prohibited. Use of Category 1 mobile code technologies that cannot block or disable unsigned mobile code (e.g., Windows Scripting Host) is prohibited. g. Category 2 mobile code which executes in a constrained environment without access to system resources (e.g., Windows registry, file system, system parameters, and network connections to other than the originating host) may be used. h. Category 2 mobile code which does not execute in a constrained environment may be used when obtained from a trusted source over an assured channel (e.g., JWICS, SIPRNet, SSL connection, S/MIME) or when signed with an approved certificate. i. Category 3 mobile code may be used. Recommended Continuous Monitoring Frequency: Annual
SC-18 — NIST 800-53 Supplemental Guidance
Decisions regarding the employment of mobile code within organizational information systems are based on the potential for the code to cause damage to the systems if used maliciously. Mobile code technologies include, for example, Java, JavaScript, ActiveX, Postscript, PDF, Shockwave movies, Flash animations, and VBScript. Usage restrictions and implementation guidance apply to both the selection and use of mobile code installed on servers and mobile code downloaded and executed on individual workstations and devices (e.g., smart phones). Mobile code policy and procedures address preventing the development, acquisition, or introduction of unacceptable mobile code within organizational information systems. Related controls: AU-2, AU-12, CM-2, CM-6, SI-3.
SC-18(1) — DAAPM Appendix A Control Verbiage
The information system identifies unacceptable mobile code and takes corrective action.
SC-18(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SC-18(1) — NIST 800-53 Supplemental Guidance
Corrective actions when unacceptable mobile code is detected include, for example, blocking, quarantine, or alerting administrators. Blocking includes, for example, preventing transmission of word processing files with embedded macros when such macros have been defined to be unacceptable mobile code.
SC-18(2) — DAAPM Appendix A Control Verbiage
The organization ensures that the acquisition, development, and use of mobile code to be deployed in the information system meets the following mobile code requirements, usage restrictions, and implementation guidance for acceptable mobile code and mobile code technologies: a. Emerging mobile code technologies, that have not undergone a risk assessment and been assigned to a Risk Category by the AO, shall not be used. b. Category 1 mobile code shall be signed by a trusted Certificate Authority. Use of unsigned Category 1 mobile code is prohibited. Use of Category 1 mobile code technologies that cannot block or disable unsigned mobile code (e.g., Windows Scripting Host) is prohibited. c. Category 2 mobile code which executes in a constrained environment without access to system resources (e.g., Windows registry, file system, system parameters, and network connections to other than the originating host) may be used. Category 2 mobile code which does not execute in a constrained environment may be used when obtained from a trusted source over an assured channel (e.g., JWICS, SIPRNet, SSL connection, S/MIME) or when signed with an approved code signing certificate. d. Category 3 mobile code may be used.
SC-18(2) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SC-18(2) — NIST 800-53 Supplemental Guidance
SC-18(3) — DAAPM Appendix A Control Verbiage
The information system prevents the download and execution of unacceptable mobile code.
SC-18(3) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SC-18(3) — NIST 800-53 Supplemental Guidance
SC-18(4) — DAAPM Appendix A Control Verbiage
The information system prevents the automatic execution of mobile code in software applications and enforces actions defined in the authorized System Security Plan(SSP) prior to executing the code.
SC-18(4) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SC-18(4) — NIST 800-53 Supplemental Guidance
Actions enforced before executing mobile code, include, for example, prompting users prior to opening electronic mail attachments. Preventing automatic execution of mobile code includes, for example, disabling auto execute features on information system components employing portable storage devices such as Compact Disks(CDs), Digital Video Disks(DVDs), and Universal Serial Bus(USB) devices.
SC-28 — DAAPM Appendix A Control Verbiage
The information system protects the confidentiality and integrity of information at rest.
SC-28 — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Annual
SC-28 — NIST 800-53 Supplemental Guidance
This control addresses the confidentiality and integrity of information at rest and covers user information and system information. Information at rest refers to the state of information when it is located on storage devices as specific components of information systems. System-related information requiring protection includes, for example, configurations or rule sets for firewalls, gateways, intrusion detection/prevention systems, filtering routers, and authenticator content. Organizations may employ different mechanisms to achieve confidentiality and integrity protections, including the use of cryptographic mechanisms and file share scanning. Integrity protection can be achieved, for example, by implementing Write-Once-Read-Many(WORM) technologies. Organizations may also employ other security controls including, for example, secure off-line storage in lieu of online storage when adequate protection of information at rest cannot otherwise be achieved and/or continuous monitoring to identify malicious code at rest. Related controls: AC-3, AC-6, CA-7, CM-3, CM-5, CM-6, PE-3, SC-8, SC-13, SI-3, SI-7.
SC-28(1) — DAAPM Appendix A Control Verbiage
The information system implements cryptographic mechanisms to prevent unauthorized disclosure and modification of information on information system components.
SC-28(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SC-28(1) — NIST 800-53 Supplemental Guidance
Selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of organizational information. The strength of mechanism is commensurate with the security category and/or classification of the information. This control enhancement applies to significant concentrations of digital media in organizational areas designated for media storage and also to limited quantities of media generally associated with information system components in operational environments (e.g., portable storage devices, mobile devices). Organizations have the flexibility to either encrypt all information on storage devices (i.e., full disk encryption) or encrypt specific data structures (e.g., files, records, or fields). Organizations employing cryptographic mechanisms to protect information at rest also consider cryptographic key management solutions. Related controls: AC-19, SC-12.
SC-38 — DAAPM Appendix A Control Verbiage
The organization employs Operation Security safeguards to protect key organizational information throughout the system development life cycle.
SC-38 — DCSA Supplemental Guidance
OPSEC program must be aligned and based upon contractual and NISPOM requirements. In addition, utilize DSS resources in the development of an OPSEC Program. Reference DSS Insider Threat Products (https:www.dcsa.mil/mc/pv/fso/insider_threat/), DSS Counterintelligence Products (https:www.dcsa.mil/mc/ci/), Industial Base Technology List (https:www.cdse.edu/documents/cdse/CI-JobAidSeries-IBTL.pdf) and the Methods of Operation & Methods of Contact Matrix (https:www.cdse.edu/documents/ci-countermeasures-matrix.pdf). Recommended Continuous Monitoring Frequency: Annual
SC-38 — NIST 800-53 Supplemental Guidance
Operations security(OPSEC) is a systematic process by which potential adversaries can be denied information about the capabilities and intentions of organizations by identifying, controlling, and protecting generally unclassified information that specifically relates to the planning and execution of sensitive organizational activities. The OPSEC process involves five steps: (i) identification of critical information (e.g., the security categorization process); (ii) analysis of threats; (iii) analysis of vulnerabilities; (iv) assessment of risks; and(v) the application of appropriate countermeasures. OPSEC safeguards are applied to both organizational information systems and the environments in which those systems operate. OPSEC safeguards help to protect the confidentiality of key information including, for example, limiting the sharing of information with suppliers and potential suppliers of information system components, information technology products and services, and with other non-organizational elements and individuals. Information critical to mission/business success includes, for example, user identities, element uses, suppliers, supply chain processes, functional and security requirements, system design specifications, testing protocols, and security control implementation details. Related controls: RA-2, RA-5, SA-12.
SC-39 — DAAPM Appendix A Control Verbiage
The information system maintains a separate execution domain for each executing process.
SC-39 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SC-39 — NIST 800-53 Supplemental Guidance
Information systems can maintain separate execution domains for each executing process by assigning each process a separate address space. Each information system process has a distinct address space so that communication between processes is performed in a manner controlled through the security functions, and one process cannot modify the executing code of another process. Maintaining separate execution domains for executing processes can be achieved, for example, by implementing separate address spaces. This capability is available in most commercial operating systems that employ multi-state processor technologies. Related controls: AC-3, AC-4, AC-6, SA-4, SA-5, SA-8, SC-2, SC-3.
SC-42 — DAAPM Appendix A Control Verbiage
The information system: a. Prohibits the remote activation of environmental sensing capabilities with the following exceptions: when remote activation of sensors is deemed mission essential; and b. Provides an explicit indication of sensor use to a class of users defined in the authorized System Security Plan(SSP).
SC-42 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SC-42 — NIST 800-53 Supplemental Guidance
This control often applies to types of information systems or system components characterized as mobile devices, for example, smart phones, tablets, and E-readers. These systems often include sensors that can collect and record data regarding the environment where the system is in use. Sensors that are embedded within mobile devices include, for example, cameras, microphones, Global Positioning System(GPS) mechanisms, and accelerometers. While the sensors on mobiles devices provide an important function, if activated covertly, such devices can potentially provide a means for adversaries to learn valuable information about individuals and organizations. For example, remotely activating the GPS function on a mobile device could provide an adversary with the ability to track the specific movements of an individual.
SC-42(3) — DAAPM Appendix A Control Verbiage
The organization prohibits the use of devices possessing environmental sensing capabilities in areas or systems defined in the authorized System Security Plan(SSP).
SC-42(3) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SC-42(3) — NIST 800-53 Supplemental Guidance
For example, organizations may prohibit individuals from bringing cell phones or digital cameras into certain facilities or specific controlled areas within facilities where classified information is stored or sensitive conversations are taking place.
SI-1 — DAAPM Appendix A Control Verbiage
The organization: a. Develops, documents, and disseminates to all stakeholders: 1. A system and information integrity policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and 2. Procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls; and b. Reviews and updates the current: 1. System and information integrity policy at least Annually; and 2. System and information integrity procedures at least Annually.
SI-1 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SI-1 — NIST 800-53 Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SI family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures. Related control: PM-9.
SI-2 — DAAPM Appendix A Control Verbiage
The organization: a. Identifies, reports, and corrects information system flaws; b. Tests software and firmware updates related to flaw remediation for effectiveness and potential side effects before installation; c. Installs security-relevant software and firmware updates within thirty(30) days of the release of the updates; and d. Incorporates flaw remediation into the organizational configuration management process.
SI-2 — DCSA Supplemental Guidance
Flaw remediation refers to software patch management. Patch management is the systematic notification, identification, deployment, installation, and verification of operating system and application software code revisions. Organizations shall: a. Ensure system/network administrators routinely review vendor sites, bulletins, and notifications and proactively update information systems with fixes, patches, definitions, service packs, or implementation of vulnerability mitigation strategies with ISSM approval; and b. Employ automated patch management tools on all components to the maximum extent supported by available tools to facilitate flaw remediation. Recommended Continuous Monitoring Frequency: Weekly
SI-2 — NIST 800-53 Supplemental Guidance
Organizations identify information systems affected by announced software flaws including potential vulnerabilities resulting from those flaws, and report this information to designated organizational personnel with information security responsibilities. Security-relevant software updates include, for example, patches, service packs, hot fixes, and anti-virus signatures. Organizations also address flaws discovered during security assessments, continuous monitoring, incident response activities, and system error handling. Organizations take advantage of available resources such as the Common Weakness Enumeration(CWE) or Common Vulnerabilities and Exposures(CVE) databases in remediating flaws discovered in organizational information systems. By incorporating flaw remediation into ongoing configuration management processes, required/anticipated remediation actions can be tracked and verified. Flaw remediation actions that can be tracked and verified include, for example, determining whether organizations follow US-CERT guidance and Information Assurance Vulnerability Alerts. Organization-defined time periods for updating security-relevant software and firmware may vary based on a variety of factors including, for example, the security category of the information system or the criticality of the update (i.e., severity of the vulnerability related to the discovered flaw). Some types of flaw remediation may require more testing than other types. Organizations determine the degree and type of testing needed for the specific type of flaw remediation activity under consideration and also the types of changes that are to be configuration-managed. In some situations, organizations may determine that the testing of software and/or firmware updates is not necessary or practical, for example, when implementing simple anti-virus signature updates. Organizations may also consider in testing decisions, whether security-relevant software or firmware updates are obtained from authorized sources with appropriate digital signatures. Related controls: CA-2, CA-7, CM-3, CM-5, CM-8, MA-2, IR-4, RA-5, SA-10, SA-11</del>, SI-11.
SI-2(1) — DAAPM Appendix A Control Verbiage
The organization centrally manages the flaw remediation process.
SI-2(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Annual
SI-2(1) — NIST 800-53 Supplemental Guidance
Central management is the organization-wide management and implementation of flaw remediation processes. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw remediation security controls.
SI-2(2) — DAAPM Appendix A Control Verbiage
The organization employs automated mechanisms at least once a quarter to determine the state of information system components with regard to flaw remediation.
SI-2(2) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
SI-2(3) — DAAPM Appendix A Control Verbiage
The organization: (a) Measures the time between flaw identification and flaw remediation; and (b) Establishes defined benchmarks for taking corrective actions.
SI-2(3) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
SI-2(3) — NIST 800-53 Supplemental Guidance
This control enhancement requires organizations to determine the current time it takes on the average to correct information system flaws after such flaws have been identified, and subsequently establish organizational benchmarks (i.e., time frames) for taking corrective actions. Benchmarks can be established by type of flaw and/or severity of the potential vulnerability if the flaw can be exploited.
SI-2(6) — DAAPM Appendix A Control Verbiage
The organization removes previous versions of software and/or firmware components after updated versions have been installed.
SI-2(6) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
SI-2(6) — NIST 800-53 Supplemental Guidance
Previous versions of software and/or firmware components that are not removed from the information system after updates have been installed may be exploited by adversaries. Some information technology products may remove older versions of software and/or firmware automatically from the information system.
SI-3 — DAAPM Appendix A Control Verbiage
The organization: a. Employs malicious code protection mechanisms at information system entry and exit points to detect and eradicate malicious code; b. Updates malicious code protection mechanisms whenever new releases are available in accordance with organizational configuration management policy and procedures; c. Configures malicious code protection mechanisms to: 1. Perform periodic scans of the information system at least Weekly and real-time scans of files from external sources at endpoints and network entry/exit points as the files are downloaded, opened, or executed in accordance with organizational security policy; and 2. Block and quarantine malicious code and send an alert to the system administrator in response to malicious code detection; and d. Addresses the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the information system.
SI-3 — DCSA Supplemental Guidance
In reference to SI-3.b, malicious code protection mechanisms shall be updated, at a minimum, every 30 days. Recommended Continuous Monitoring Frequency: Weekly
SI-3 — NIST 800-53 Supplemental Guidance
Information system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, remote-access servers, workstations, notebook computers, and mobile devices. Malicious code includes, for example, viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden files, or hidden in files using steganography. Malicious code can be transported by different means including, for example, web accesses, electronic mail, electronic mail attachments, and portable storage devices. Malicious code insertions occur through the exploitation of information system vulnerabilities. Malicious code protection mechanisms include, for example, anti-virus signature definitions and reputation-based technologies. A variety of technologies and methods exist to limit or eliminate the effects of malicious code. Pervasive configuration management and comprehensive software integrity controls may be effective in preventing execution of unauthorized code. In addition to commercial off-the-shelf software, malicious code may also be present in custom-built software. This could include, for example, logic bombs, back doors, and other types of cyber attacks that could affect organizational missions/business functions. Traditional malicious code protection mechanisms cannot always detect such code. In these situations, organizations rely instead on other safeguards including, for example, secure coding practices, configuration management and control, trusted procurement processes, and monitoring practices to help ensure that software does not perform functions other than the functions intended. Organizations may determine that in response to the detection of malicious code, different actions may be warranted. For example, organizations can define actions in response to malicious code detection during periodic scans, actions in response to detection of malicious downloads, and/or actions in response to detection of maliciousness when attempting to open or execute files. Related controls: CM-3, MP-2, SA-4, SA-8, SA-12, SA-13, SC-7, SC-26, SC-44, SI-2, SI-4, SI-7.
SI-3(1) — DAAPM Appendix A Control Verbiage
The organization centrally manages malicious code protection mechanisms.
SI-3(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
SI-3(1) — NIST 800-53 Supplemental Guidance
Central management is the organization-wide management and implementation of malicious code protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw malicious code protection security controls. Related controls: AU-2, SI-8.
SI-3(2) — DAAPM Appendix A Control Verbiage
The information system automatically updates malicious code protection mechanisms.
SI-3(2) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Weekly
SI-3(2) — NIST 800-53 Supplemental Guidance
Malicious code protection mechanisms include, for example, signature definitions. Due to information system integrity and availability concerns, organizations give careful consideration to the methodology used to carry out automatic updates. Related control: SI-8.
SI-3(10) — DAAPM Appendix A Control Verbiage
The organization: (a) Employs tools and techniques to analyze the characteristics and behavior of malicious code; and (b) Incorporates the results from malicious code analysis into organizational incident response and flaw remediation processes.
SI-3(10) — DCSA Supplemental Guidance
For standalone systems, malicious code analysis most likely is performed by a common control provider at a component level organization. This control is met by referencing the organization providing the malicious code analysis as a common control provider. Recommended Continuous Monitoring Frequency: Weekly
SI-3(10) — NIST 800-53 Supplemental Guidance
The application of selected malicious code analysis tools and techniques provides organizations with a more in-depth understanding of adversary tradecraft (i.e., tactics, techniques, and procedures) and the functionality and purpose of specific instances of malicious code. Understanding the characteristics of malicious code facilitates more effective organizational responses to current and future threats. Organizations can conduct malicious code analyses by using reverse engineering techniques or by monitoring the behavior of executing code.
SI-4 — DAAPM Appendix A Control Verbiage
The organization: a. Monitors the information system to detect: 1. Attacks and indicators of potential attacks in accordance with monitoring objectives defined in the authorized System Security Plan (SSP); and 2. Unauthorized local, network, and remote connections; b. Identifies unauthorized use of the information system through techniques and methods defined in the authorized System Security Plan (SSP); c. Deploys monitoring devices: (i) strategically within the information system to collect organization-determined essential information; and (ii) at ad hoc locations within the system to track specific types of transactions of interest to the organization; d. Protects information obtained from intrusion-monitoring tools from unauthorized access, modification, and deletion; e. Heightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information; f. Obtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations; and g. Provides information system monitoring information to ISSM/ISSO: as needed; at the frequency defined in the authorized System Security Plan (SSP).
SI-4 — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Quarterly
SI-4 — NIST 800-53 Supplemental Guidance
Information system monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at the information system boundary (i.e., part of perimeter defense and boundary protection). Internal monitoring includes the observation of events occurring within the information system. Organizations can monitor information systems, for example, by observing audit activities in real time or by observing other system aspects such as access patterns, characteristics of access, and other actions. The monitoring objectives may guide determination of the events. Information system monitoring capability is achieved through a variety of tools and techniques (e.g., intrusion detection systems, intrusion prevention systems, malicious code protection software, scanning tools, audit record monitoring software, network monitoring software). Strategic locations for monitoring devices include, for example, selected perimeter locations and near server farms supporting critical applications, with such devices typically being employed at the managed interfaces associated with controls SC-7 and AC-17. Einstein network monitoring devices from the Department of Homeland Security can also be included as monitoring devices. The granularity of monitoring information collected is based on organizational monitoring objectives and the capability of information systems to support such objectives. Specific types of transactions of interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that bypasses HTTP proxies. Information system monitoring is an integral part of organizational continuous monitoring and incident response programs. Output from system monitoring serves as input to continuous monitoring and incident response programs. A network connection is any connection with a device that communicates through a network (e.g., local area network, Internet). A remote connection is any connection with a device communicating through an external network (e.g., the Internet). Local, network, and remote connections can be either wired or wireless. Related controls: AC-3, AC-4, AC-8, AC-17, AU-2, AU-6, AU-7, AU-9, AU-12, CA-7, IR-4, PE-3, RA-5, SC-7, SC-26, SC-35, SI-3, SI-7.
SI-4(1) — DAAPM Appendix A Control Verbiage
The organization connects and configures individual intrusion detection tools into an information system-wide intrusion detection system.
SI-4(1) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
SI-4(1) — NIST 800-53 Supplemental Guidance
SI-4(2) — DAAPM Appendix A Control Verbiage
The organization employs automated tools to support near real-time analysis of events.
SI-4(2) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
SI-4(2) — NIST 800-53 Supplemental Guidance
Automated tools include, for example, host-based, network-based, transport-based, or storage-based event monitoring tools or Security Information and Event Management (SIEM) technologies that provide real time analysis of alerts and/or notifications generated by organizational information systems.
SI-4(4) — DAAPM Appendix A Control Verbiage
The information system monitors inbound and outbound communications traffic continuously for unusual or unauthorized activities or conditions.
SI-4(4) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
SI-4(4) — NIST 800-53 Supplemental Guidance
Unusual/unauthorized activities or conditions related to information system inbound and outbound communications traffic include, for example, internal traffic that indicates the presence of malicious code within organizational information systems or propagating among system components, the unauthorized exporting of information, or signaling to external information systems. Evidence of malicious code is used to identify potentially compromised information systems or information system components.
SI-4(5) — DAAPM Appendix A Control Verbiage
The information system alerts ISSM/ISSO when the following indications of compromise or potential compromise occur: audit record deletion or modification, alerts from malicious code detection mechanisms, intrusion detection or prevention mechanisms, boundary protection mechanisms such as firewalls, gateways, and routers.
SI-4(5) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
SI-4(5) — NIST 800-53 Supplemental Guidance
Alerts may be generated from a variety of sources, including, for example, audit records or inputs from malicious code protection mechanisms, intrusion detection or prevention mechanisms, or boundary protection devices such as firewalls, gateways, and routers. Alerts can be transmitted, for example, telephonically, by electronic mail messages, or by text messaging. Organizational personnel on the notification list can include, for example, system administrators, mission/business owners, system owners, or information system security officers. Related controls: AU-5, PE-6.
SI-4(10) — DAAPM Appendix A Control Verbiage
The organization makes provisions so that encrypted communications traffic is visible to information system monitoring tools.
SI-4(10) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
SI-4(10) — NIST 800-53 Supplemental Guidance
Organizations balance the potentially conflicting needs for encrypting communications traffic and for having insight into such traffic from a monitoring perspective. For some organizations, the need to ensure the confidentiality of communications traffic is paramount; for others, mission-assurance is of greater concern. Organizations determine whether the visibility requirement applies to internal encrypted traffic, encrypted traffic intended for external destinations, or a subset of the traffic types.
SI-4(12) — DAAPM Appendix A Control Verbiage
The organization employs automated mechanisms to alert security personnel of the following inappropriate or unusual activities with security implications: at a minimum, unauthorized access attempts, unauthorized system usage, and all activities that trigger alerts.
SI-4(12) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
SI-4(12) — NIST 800-53 Supplemental Guidance
This control enhancement focuses on the security alerts generated by organizations and transmitted using automated means. In contrast to the alerts generated by information systems in SI-4(5),which tend to focus on information sources internal to the systems (e.g., audit records), the sources of information for this enhancement can include other entities as well (e.g., suspicious activity reports, reports on potential insider threats). Related controls: AC-18, IA-3.
SI-4(14) — DAAPM Appendix A Control Verbiage
The organization employs a wireless intrusion detection system to identify rogue wireless devices and to detect attack attempts and potential compromises/breaches to the information system.
SI-4(14) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
SI-4(14) — NIST 800-53 Supplemental Guidance
Wireless signals may radiate beyond the confines of organization-controlled facilities. Organizations proactively search for unauthorized wireless connections including the conduct of thorough scans for unauthorized wireless access points. Scans are not limited to those areas within facilities containing information systems, but also include areas outside of facilities as needed, to verify that unauthorized wireless access points are not connected to the systems. Related controls: AC-18, IA-3.
SI-4(15) — DAAPM Appendix A Control Verbiage
The organization employs an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks.
SI-4(15) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
SI-4(16) — DAAPM Appendix A Control Verbiage
The organization correlates information from monitoring tools employed throughout the information system.
SI-4(16) — DCSA Supplemental Guidance
This control supports insider threat mitigation. Recommended Continuous Monitoring Frequency: Quarterly
SI-4(16) — NIST 800-53 Supplemental Guidance
Correlating information from different monitoring tools can provide a more comprehensive view of information system activity. The correlation of monitoring tools that usually work in isolation (e.g., host monitoring, network monitoring, anti-virus software) can provide an organization-wide view and in so doing, may reveal otherwise unseen attack patterns. Understanding the capabilities/limitations of diverse monitoring tools and how to maximize the utility of information generated by those tools can help organizations to build, operate, and maintain effective monitoring programs. Related control: AU-6.
SI-4(19) — DAAPM Appendix A Control Verbiage
The organization implements additional monitoring of individuals who have been identified by organization-defined sources as posing an increased level of risk.
SI-4(19) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
SI-4(19) — NIST 800-53 Supplemental Guidance
Indications of increased risk from individuals can be obtained from a variety of sources including, for example, human resource records, intelligence agencies, law enforcement organizations, and/or other credible sources. The monitoring of individuals is closely coordinated with management, legal, security, and human resources officials within organizations conducting such monitoring and complies with federal legislation, Executive Orders, policies, directives, regulations, and standards.
SI-4(20) — DAAPM Appendix A Control Verbiage
The organization implements additional monitoring of privileged users.
SI-4(20) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
SI-4(20) — NIST 800-53 Supplemental Guidance
SI-4(21) — DAAPM Appendix A Control Verbiage
The organization implements additional monitoring of individuals during probationary periods.
SI-4(21) — DCSA Supplemental Guidance
Additional monitoring may be instituted as part of a new-user policy, upon notice of personnel termination (e.g., user gives two weeks' notice), or the result of incident response. This control may be implemented and defined at the time of incident. Recommended Continuous Monitoring Frequency: Quarterly
SI-4(21) — NIST 800-53 Supplemental Guidance
SI-4(22) — DAAPM Appendix A Control Verbiage
The information system detects network services that have not been authorized or approved by a defined aapproval processes: audits; alerts the ISSM/ISSO.
SI-4(22) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
SI-4(22) — NIST 800-53 Supplemental Guidance
Unauthorized or unapproved network services include, for example, services in service-oriented architectures that lack organizational verification or validation and therefore may be unreliable or serve as malicious rogues for valid services. Related controls: AC-6, CM-7, SA-5, SA-9.
SI-4(23) — DAAPM Appendix A Control Verbiage
The organization implements host-based monitoring mechanisms at information system components defined in the authorized SSP.
SI-4(23) — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
SI-4(23) — NIST 800-53 Supplemental Guidance
Information system components where host-based monitoring can be implemented include, for example, servers, workstations, and mobile devices. Organizations consider employing host-based monitoring mechanisms from multiple information technology product developers.
SI-5 — DAAPM Appendix A Control Verbiage
The organization: a. Receives information system security alerts, advisories, and directives from external organizations defined in the authorized in System Security Plan (SSP) on an ongoing basis; b. Generates internal security alerts, advisories, and directives as deemed necessary; c. Disseminates security alerts, advisories, and directives to: ISOs, ISSM/ISSOs, system administrators, and security personnel; and d. Implements security directives in accordance with established time frames, or notifies the issuing organization of the degree of noncompliance.
SI-5 — DCSA Supplemental Guidance
A variety of sites are available that provide warnings of system vulnerabilities or ongoing attacks. Additional sources of alerts and advisories which may be monitored include: a. DHS US Computer Emergency Readiness Team. b. Military service computer security incident response teams (CSIRTs) (i.e., Air Force Network Operations and Security Center Network Security Division (AFNOSC NSD), Army CERT Computer Network Operations (ACERT-CNO), Navy Cyber Defense Operations Command (NCDOC), and Marine Corps Network Operations and Security Command (MCNOSC)). c. Advisories from the IC Security Coordination Center (IC-SCC) such as Intelligence Community Vulnerability Alerts (ICVA) and Intelligence Community Vulnerability Management (ICVM) releases. d. IAVAs and IAVBs maintained by USCYBERCOM and Defense Information Systems Agency (DISA). Recommended Continuous Monitoring Frequency: Annual
SI-5 — NIST 800-53 Supplemental Guidance
The United States Computer Emergency Readiness Team (US-CERT) generates security alerts and advisories to maintain situational awareness across the federal government. Security directives are issued by OMB or other designated organizations with the responsibility and authority to issue such directives. Compliance to security directives is essential due to the critical nature of many of these directives and the potential immediate adverse effects on organizational operations and assets, individuals, other organizations, and the Nation should the directives not be implemented in a timely manner. External organizations include, for example, external mission/business partners, supply chain partners, external service providers, and other peer/supporting organizations. Related control: SI-2.
SI-7(14) — DAAPM Appendix A Control Verbiage
The organization: (a) Prohibits the use of binary or machine-executable code from sources with limited or no warranty and without the provision of source code; and (b) Provides exceptions to the source code requirement only for compelling mission/operational requirements and with the approval of the authorizing official.
SI-7(14) — DCSA Supplemental Guidance
Documentation must be provided in the System Security Plan to identify the overall need for the open source software and any additional mitigations to address the increase in risk. The overall need for open source software should also be included in your Risk Assessment Report (RAR) so that both the need for the software and any additional mitigations can be highlighted in order to provide the appropriate level of visibility. Recommended Continuous Monitoring Frequency: Quarterly
SI-7(14) — NIST 800-53 Supplemental Guidance
This control enhancement applies to all sources of binary or machine-executable code including, for example, commercial software/firmware and open source software. Organizations assess software products without accompanying source code from sources with limited or no warranty for potential security impacts. The assessments address the fact that these types of software products may be very difficult to review, repair, or extend, given that organizations, in most cases, do not have access to the original source code, and there may be no owners who could make such repairs on behalf of organizations. Related control: SA-5</del>.
SI-10 — DAAPM Appendix A Control Verbiage
The information system checks the validity of all inputs to web/application servers, database servers, and any system or application input that might receive a crafted exploit toward executing some code or buffer overflow.
SI-10 — DCSA Supplemental Guidance
Not all operating systems / applications provide input validation. The system configuration documentation will address what inputs are checked and what input format and content is acceptable. Recommended Continuous Monitoring Frequency: Annual
SI-10 — NIST 800-53 Supplemental Guidance
Checking the valid syntax and semantics of information system inputs (e.g., character set, length, numerical range, and acceptable values) verifies that inputs match specified definitions for format and content. Software applications typically follow well-defined protocols that use structured messages (i.e., commands or queries) to communicate between software modules or system components. Structured messages can contain raw or unstructured data interspersed with metadata or control information. If software applications use attacker-supplied inputs to construct structured messages without properly encoding such messages, then the attacker could insert malicious commands or special characters that can cause the data to be interpreted as control information or metadata. Consequently, the module or component that receives the tainted output will perform the wrong operations or otherwise interpret the data incorrectly. Prescreening inputs prior to passing to interpreters prevents the content from being unintentionally interpreted as commands. Input validation helps to ensure accurate and correct inputs and prevent attacks such as cross-site scripting and a variety of injection attacks.
SI-11 — DAAPM Appendix A Control Verbiage
The information system: a. Generates error messages that provide information necessary for corrective actions without revealing information that could be exploited by adversaries; and b. Reveals error messages only to authorized personnel.
SI-11 — DCSA Supplemental Guidance
Systems should be configured to reduce access to system errors and logs that could reveal sensitive or security related information to adversaries to those personnel identified as privileged users with a requirement to access such information. Recommended Continuous Monitoring Frequency: Quarterly
SI-11 — NIST 800-53 Supplemental Guidance
Organizations carefully consider the structure/content of error messages. The extent to which information systems are able to identify and handle error conditions is guided by organizational policy and operational requirements. Information that could be exploited by adversaries includes, for example, erroneous logon attempts with passwords entered by mistake as the username, mission/business information that can be derived from (if not stated explicitly by) information recorded, and personal information such as account numbers, social security numbers, and credit card numbers. In addition, error messages may provide a covert channel for transmitting information. Related controls: AU-2, AU-3, SC-31.
SI-12 — DAAPM Appendix A Control Verbiage
The organization handles and retains information within the information system and information output from the system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements.
SI-12 — DCSA Supplemental Guidance
Recommended Continuous Monitoring Frequency: Quarterly
SI-12 — NIST 800-53 Supplemental Guidance
Information handling and retention requirements cover the full life cycle of information, in some cases extending beyond the disposal of information systems. The National Archives and Records Administration provides guidance on records retention. Related controls: AC-16, AU-5, AU-11, MP-2, MP-4.
SI-14 — DAAPM Appendix A Control Verbiage
The organization implements non-persistent [Assignment: organization-defined information system components and services] that are initiated in a known state and terminated [Selection (one or more): upon end of session of use; periodically at [Assignment: organization-defined frequency</del>.
SI-14 — DCSA Supplemental Guidance
None
SI-14 — NIST 800-53 Supplemental Guidance
This control mitigates risk from advanced persistent threats (APTs) by significantly reducing the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete cyber attacks. By implementing the concept of non-persistence for selected information system components, organizations can provide a known state computing resource for a specific period of time that does not give adversaries sufficient time on target to exploit vulnerabilities in organizational information systems and the environments in which those systems operate. Since the advanced persistent threat is a high-end threat with regard to capability, intent, and targeting, organizations assume that over an extended period of time, a percentage of cyber attacks will be successful. Non-persistent information system components and services are activated as required using protected information and terminated periodically or upon the end of sessions. Non-persistence increases the work factor of adversaries in attempting to compromise or breach organizational information systems.
Non-persistent system components can be implemented, for example, by periodically re-imaging components or by using a variety of common virtualization techniques.
Non-persistent services can be implemented using virtualization techniques as part of virtual machines or as new instances of processes on physical machines (either persistent or non-persistent).The benefit of periodic refreshes of information system components/services is that it does not require organizations to first determine whether compromises of components or services have occurred (something that may often be difficult for organizations to determine). The refresh of selected information system components and services occurs with sufficient frequency to prevent the spread or intended impact of attacks, but not with such frequency that it makes the information system unstable. In some instances, refreshes of critical components and services may be done periodically in order to hinder the ability of adversaries to exploit optimum windows of vulnerabilities.
Related controls: SC-30, SC-34.
SI-14(1) — DAAPM Appendix A Control Verbiage
The organization ensures that software and data employed during information system component and service refreshes are obtained from [Assignment: organization-defined trusted sources].
SI-14(1) — DCSA Supplemental Guidance
None
SI-14(1) — NIST 800-53 Supplemental Guidance
Trusted sources include, for example, software/data from write-once, read-only media or from selected off-line secure storage facilities.